part iii statement of program service accomplishments · part iii statement of program service...
TRANSCRIPT
Code: Expenses $ including grants of $ Revenue $
Code: Expenses $ including grants of $ Revenue $
Code: Expenses $ including grants of $ Revenue $
Expenses $ including grants of $ Revenue $
23200212-10-12
1
2
3
4
Yes No
Yes No
4a
4b
4c
4d
4e Total program service expenses
Form 990 (2012) Page
Check if Schedule O contains a response to any question in this Part III �����������������������������
Briefly describe the organization's mission:
Did the organization undertake any significant program services during the year which were not listed on
the prior Form 990 or 990-EZ?
If "Yes," describe these new services on Schedule O.
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization cease conducting, or make significant changes in how it conducts, any program services?
If "Yes," describe these changes on Schedule O.
~~~~~~
Describe the organization's program service accomplishments for each of its three largest program services, as measured by expenses.
Section 501(c)(3) and 501(c)(4) organizations are required to report the amount of grants and allocations to others, the total expenses, and
revenue, if any, for each program service reported.
( ) ( ) ( )
( ) ( ) ( )
( ) ( ) ( )
Other program services (Describe in Schedule O.)
( ) ( )
Form (2012)
2Statement of Program Service AccomplishmentsPart III
990
J
Smithsonian Institution 53-0206027
X
"Increase and diffusion of knowledge" is the mission set forth byJames Smithson. The Smithsonian endeavors to shape the future bypreserving our heritage, discovering new knowledge, and sharing ourresources with the world.
X
X
457,420,244. 15,073,349. 34,290,483.4A Research and Collections (See Schedule O)
383,991,669. 1,501,100. 48,300,549.4B Education, Public Programs and Exhibitions (See Schedule O)
71,191,342. 65,600,907.4C Membership (See Schedule O)
912,603,255.
See Schedule O for Continuation(s)
23200312-10-12
Yes No
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
1
2
3
4
5
6
7
8
9
10
Section 501(c)(3) organizations.
a
b
c
d
e
f
a
b
11a
11b
11c
11d
11e
11f
12a
12b
13
14a
14b
15
16
17
18
19
20a
20b
a
b
a
b
If "Yes," complete Schedule ASchedule B, Schedule of Contributors
If "Yes," complete Schedule C, Part I
If "Yes," complete Schedule C, Part II
If "Yes," complete Schedule C, Part III
If "Yes," complete Schedule D, Part I
If "Yes," complete Schedule D, Part IIIf "Yes," complete
Schedule D, Part III
If "Yes," complete Schedule D, Part IV
If "Yes," complete Schedule D, Part V
If "Yes," complete Schedule D,Part VI
If "Yes," complete Schedule D, Part VII
If "Yes," complete Schedule D, Part VIII
If "Yes," complete Schedule D, Part IXIf "Yes," complete Schedule D, Part X
If "Yes," complete Schedule D, Part XIf "Yes," complete
Schedule D, Parts XI and XII
If "Yes," and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optionalIf "Yes," complete Schedule E
If "Yes," complete Schedule F, Parts I and IV
If "Yes," complete Schedule F, Parts II and IV
If "Yes," complete Schedule F, Parts III and IV
If "Yes," complete Schedule G, Part I
If "Yes," complete Schedule G, Part IIIf "Yes,"
complete Schedule G, Part IIIIf "Yes," complete Schedule H
Form 990 (2012) Page
Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Is the organization required to complete ?
Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for
public office?
~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization engage in lobbying activities, or have a section 501(h) election in effect
during the tax year?
Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues, assessments, or
similar amounts as defined in Revenue Procedure 98-19?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~
Did the organization maintain any donor advised funds or any similar funds or accounts for which donors have the right to
provide advice on the distribution or investment of amounts in such funds or accounts?
Did the organization receive or hold a conservation easement, including easements to preserve open space,
the environment, historic land areas, or historic structures?
Did the organization maintain collections of works of art, historical treasures, or other similar assets?
~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization report an amount in Part X, line 21, for escrow or custodial account liability; serve as a custodian for
amounts not listed in Part X; or provide credit counseling, debt management, credit repair, or debt negotiation services?
Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, permanent
endowments, or quasi-endowments?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~
If the organization's answer to any of the following questions is "Yes," then complete Schedule D, Parts VI, VII, VIII, IX, or X
as applicable.
Did the organization report an amount for land, buildings, and equipment in Part X, line 10?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization report an amount for investments - other securities in Part X, line 12 that is 5% or more of its total
assets reported in Part X, line 16?
Did the organization report an amount for investments - program related in Part X, line 13 that is 5% or more of its total
assets reported in Part X, line 16?
~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in
Part X, line 16?
Did the organization report an amount for other liabilities in Part X, line 25?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~
Did the organization's separate or consolidated financial statements for the tax year include a footnote that addresses
the organization's liability for uncertain tax positions under FIN 48 (ASC 740)?
Did the organization obtain separate, independent audited financial statements for the tax year?
~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Was the organization included in consolidated, independent audited financial statements for the tax year?
~~~~~
Is the organization a school described in section 170(b)(1)(A)(ii)?
Did the organization maintain an office, employees, or agents outside of the United States?
~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~
Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business,
investment, and program service activities outside the United States, or aggregate foreign investments valued at $100,000
or more? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or assistance to any organization
or entity located outside the United States?
Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistance to individuals
located outside the United States?
~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~
Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX,
column (A), lines 6 and 11e? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines
1c and 8a? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a?
Did the organization operate one or more hospital facilities?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~
If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return? ����������
Form (2012)
3Part IV Checklist of Required Schedules
990
Smithsonian Institution 53-0206027
XX
X
X
X
X
X
X
X
X
X
X
X
XX
X
X
XX
X
X
X
X
X
X
XX
23200412-10-12
Yes No
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
21
22
23
24a
24b
24c
24d
25a
25b
26
27
28a
28b
28c
29
30
31
32
33
34
35a
35b
36
37
38
a
b
c
d
a
b
Section 501(c)(3) and 501(c)(4) organizations.
a
b
c
a
b
Section 501(c)(3) organizations.
Note.
(continued)
If "Yes," complete Schedule I, Parts I and II
If "Yes," complete Schedule I, Parts I and III
If "Yes," completeSchedule J
If "Yes," answer lines 24b through 24d and completeSchedule K. If "No", go to line 25
If "Yes," complete Schedule L, Part I
If "Yes," completeSchedule L, Part I
If "Yes," complete Schedule L, Part II
If "Yes," complete Schedule L, Part III
If "Yes," complete Schedule L, Part IVIf "Yes," complete Schedule L, Part IV
If "Yes," complete Schedule L, Part IVIf "Yes," complete Schedule M
If "Yes," complete Schedule M
If "Yes," complete Schedule N, Part IIf "Yes," complete
Schedule N, Part II
If "Yes," complete Schedule R, Part IIf "Yes," complete Schedule R, Part II, III, or IV, and
Part V, line 1
If "Yes," complete Schedule R, Part V, line 2
If "Yes," complete Schedule R, Part V, line 2
If "Yes," complete Schedule R, Part VI
Form 990 (2012) Page
Did the organization report more than $5,000 of grants and other assistance to any government or organization in the
United States on Part IX, column (A), line 1? ~~~~~~~~~~~~~~~~~~
Did the organization report more than $5,000 of grants and other assistance to individuals in the United States on Part IX,
column (A), line 2? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization's current
and former officers, directors, trustees, key employees, and highest compensated employees?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the
last day of the year, that was issued after December 31, 2002?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?
Did the organization maintain an escrow account other than a refunding escrow at any time during the year to defease
any tax-exempt bonds?
Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year?
~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~
Did the organization engage in an excess benefit transaction with a
disqualified person during the year?
Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and
that the transaction has not been reported on any of the organization's prior Forms 990 or 990-EZ?
~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Was a loan to or by a current or former officer, director, trustee, key employee, highest compensated employee, or disqualified
person outstanding as of the end of the organization's tax year?
Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial
contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member
of any of these persons?
~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV
instructions for applicable filing thresholds, conditions, and exceptions):
A current or former officer, director, trustee, or key employee? ~~~~~~~~~~~
A family member of a current or former officer, director, trustee, or key employee?
An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer,
director, trustee, or direct or indirect owner?
~~
~~~~~~~~~~~~~~~~~~~~~
Did the organization receive more than $25,000 in non-cash contributions?
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation
contributions?
~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization liquidate, terminate, or dissolve and cease operations?
Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization own 100% of an entity disregarded as separate from the organization under Regulations
sections 301.7701-2 and 301.7701-3?
Was the organization related to any tax-exempt or taxable entity?
~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization have a controlled entity within the meaning of section 512(b)(13)?
If "Yes" to line 35a, did the organization receive any payment from or engage in any transaction with a controlled entity
within the meaning of section 512(b)(13)?
~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~
Did the organization make any transfers to an exempt non-charitable related organization?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization conduct more than 5% of its activities through an entity that is not a related organization
and that is treated as a partnership for federal income tax purposes? ~~~~~~~~
Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11b and 19?
All Form 990 filers are required to complete Schedule O �������������������������������
Form (2012)
4Part IV Checklist of Required Schedules
990
Smithsonian Institution 53-0206027
X
X
X
XX
XX
X
X
X
X
XX
XX
X
X
X
X
XX
X
X
X
23200512-10-12
Sponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting organizations.
Yes No
1
2
3
4
5
6
7
a
b
c
1a
1b
1c
a
b
2a
Note.
2b
3a
3b
4a
5a
5b
5c
6a
6b
7a
7b
7c
7e
7f
7g
7h
8
9a
9b
a
b
a
b
a
b
c
a
b
Organizations that may receive deductible contributions under section 170(c).
a
b
c
d
e
f
g
h
7d
8
9
10
11
12
13
14
Sponsoring organizations maintaining donor advised funds.
a
b
Section 501(c)(7) organizations.
a
b
10a
10b
Section 501(c)(12) organizations.
a
b
11a
11b
a
b
Section 4947(a)(1) non-exempt charitable trusts. 12a
12b
Section 501(c)(29) qualified nonprofit health insurance issuers.
Note.
a
b
c
a
b
13a
13b
13c
14a
14b
e-file
If "No," provide an explanation in Schedule O
If "No," provide an explanation in Schedule O
Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor?
Did the supporting
organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdings at any time during the year?
Form (2012)
Form 990 (2012) Page
Check if Schedule O contains a response to any question in this Part V �����������������������������
Enter the number reported in Box 3 of Form 1096. Enter -0- if not applicable ~~~~~~~~~~~
Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable ~~~~~~~~~~
Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming
(gambling) winnings to prize winners? �������������������������������������������
Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax Statements,
filed for the calendar year ending with or within the year covered by this return ~~~~~~~~~~
If at least one is reported on line 2a, did the organization file all required federal employment tax returns?
If the sum of lines 1a and 2a is greater than 250, you may be required to (see instructions)
~~~~~~~~~~
Did the organization have unrelated business gross income of $1,000 or more during the year?
If "Yes," has it filed a Form 990-T for this year?
~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~
At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a
financial account in a foreign country (such as a bank account, securities account, or other financial account)?~~~~~~~
If "Yes," enter the name of the foreign country:
See instructions for filing requirements for Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts.
Was the organization a party to a prohibited tax shelter transaction at any time during the tax year?
Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction?
~~~~~~~~~~~~
~~~~~~~~~
If "Yes," to line 5a or 5b, did the organization file Form 8886-T? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit
any contributions that were not tax deductible as charitable contributions?
If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts
were not tax deductible?
~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
If "Yes," did the organization notify the donor of the value of the goods or services provided?
Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required
to file Form 8282?
~~~~~~~~~~~~~~~
����������������������������������������������������
If "Yes," indicate the number of Forms 8282 filed during the year
Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?
~~~~~~~~~~~~~~~~
~~~~~~~
~~~~~~~~~Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract?
If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required?
If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C?
~
Did the organization make any taxable distributions under section 4966?
Did the organization make a distribution to a donor, donor advisor, or related person?
~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~
Enter:
Initiation fees and capital contributions included on Part VIII, line 12
Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities
~~~~~~~~~~~~~~~
~~~~~~
Enter:
Gross income from members or shareholders
Gross income from other sources (Do not net amounts due or paid to other sources against
amounts due or received from them.)
~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Is the organization filing Form 990 in lieu of Form 1041?
If "Yes," enter the amount of tax-exempt interest received or accrued during the year ������
Is the organization licensed to issue qualified health plans in more than one state?
See the instructions for additional information the organization must report on Schedule O.
~~~~~~~~~~~~~~~~~~~~~
Enter the amount of reserves the organization is required to maintain by the states in which the
organization is licensed to issue qualified health plans
Enter the amount of reserves on hand
~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization receive any payments for indoor tanning services during the tax year?
If "Yes," has it filed a Form 720 to report these payments?
~~~~~~~~~~~~~~~~
����������
5Part V Statements Regarding Other IRS Filings and Tax Compliance
990
J
Smithsonian Institution 53-0206027
45930
X
7002X
XX
XPanama
XX
X
XX
X
XX
X
X
23200612-10-12
Yes No
1a
1b
1
2
3
4
5
6
7
8
9
a
b
2
3
4
5
6
7a
7b
8a
8b
9
a
b
a
b
Yes No
10
11
a
b
10a
10b
11a
12a
12b
12c
13
14
15a
15b
16a
16b
a
b
12a
b
c
13
14
15
a
b
16a
b
17
18
19
20
For each "Yes" response to lines 2 through 7b below, and for a "No" responseto line 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions.
If "Yes," provide the names and addresses in Schedule O(This Section B requests information about policies not required by the Internal Revenue Code.)
If "No," go to line 13
If "Yes," describein Schedule O how this was done
(explain in Schedule O)
If there are material differences in voting rights among members of the governing body, or if the governing
body delegated broad authority to an executive committee or similar committee, explain in Schedule O.
Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:
Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts?
Form (2012)
Form 990 (2012) Page
Check if Schedule O contains a response to any question in this Part VI �����������������������������
Enter the number of voting members of the governing body at the end of the tax year
Enter the number of voting members included in line 1a, above, who are independent
~~~~~~
~~~~~~
Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other
officer, director, trustee, or key employee? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization delegate control over management duties customarily performed by or under the direct supervision
of officers, directors, or trustees, or key employees to a management company or other person? ~~~~~~~~~~~~~~
Did the organization make any significant changes to its governing documents since the prior Form 990 was filed?
Did the organization become aware during the year of a significant diversion of the organization's assets?
Did the organization have members or stockholders?
~~~~~
~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or
more members of the governing body?
Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or
persons other than the governing body?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
The governing body?
Each committee with authority to act on behalf of the governing body?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~
Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the
organization's mailing address? �����������������
Did the organization have local chapters, branches, or affiliates?
If "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates,
and branches to ensure their operations are consistent with the organization's exempt purposes?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~
Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form?
Describe in Schedule O the process, if any, used by the organization to review this Form 990.
Did the organization have a written conflict of interest policy? ~~~~~~~~~~~~~~~~~~~~
~~~~~~
Did the organization regularly and consistently monitor and enforce compliance with the policy?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization have a written whistleblower policy?
Did the organization have a written document retention and destruction policy?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~
Did the process for determining compensation of the following persons include a review and approval by independent
persons, comparability data, and contemporaneous substantiation of the deliberation and decision?
The organization's CEO, Executive Director, or top management official
Other officers or key employees of the organization
If "Yes" to line 15a or 15b, describe the process in Schedule O (see instructions).
~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a
taxable entity during the year? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation
in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization's
exempt status with respect to such arrangements? ������������������������������������
List the states with which a copy of this Form 990 is required to be filed
Section 6104 requires an organization to make its Forms 1023 (or 1024 if applicable), 990, and 990-T (Section 501(c)(3)s only) available
for public inspection. Indicate how you made these available. Check all that apply.
Own website Another's website Upon request Other
Describe in Schedule O whether (and if so, how), the organization made its governing documents, conflict of interest policy, and financial
statements available to the public during the tax year.
State the name, physical address, and telephone number of the person who possesses the books and records of the organization: |
6Part VI Governance, Management, and Disclosure
Section A. Governing Body and Management
Section B. Policies
Section C. Disclosure
990
J
Smithsonian Institution 53-0206027
X
17
17
X
XXXX
X
X
XX
X
X
X
XX
XXX
XX
X
X
None
X X
Jean Garvin - 202-633-72182011 Crystal Dr., Arlington, VA 22202
Indi
vidu
al tr
uste
e or
dire
ctor
Inst
itutio
nal t
rust
ee
Offi
cer
Key
empl
oyee
Hig
hest
com
pens
ated
empl
oyee
Form
er
(do not check more than onebox, unless person is both anofficer and a director/trustee)
232007 12-10-12
current
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees
1a
current
current
former
former directors or trustees
(A) (B) (C) (D) (E) (F)
Complete this table for all persons required to be listed. Report compensation for the calendar year ending with or within the organization's tax year.
List the organization's five highest compensated employees (other than an officer, director, trustee, or key employee) who received reportablecompensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the organization and any related organizations
Form 990 (2012) Page
Check if Schedule O contains a response to any question in this Part VII�����������������������������
¥ List all of the organization's officers, directors, trustees (whether individuals or organizations), regardless of amount of compensation.Enter -0- in columns (D), (E), and (F) if no compensation was paid.
¥ List all of the organization's key employees, if any. See instructions for definition of "key employee."¥
.
¥ List all of the organization's officers, key employees, and highest compensated employees who received more than $100,000 ofreportable compensation from the organization and any related organizations.
¥ List all of the organization's that received, in the capacity as a former director or trustee of the organization,more than $10,000 of reportable compensation from the organization and any related organizations.
List persons in the following order: individual trustees or directors; institutional trustees; officers; key employees; highest compensated employees; and former such persons.
Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee.
PositionName and Title Average hours per
week (list any
hours forrelated
organizationsbelowline)
Reportablecompensation
from the
organization(W-2/1099-MISC)
Reportablecompensationfrom related
organizations(W-2/1099-MISC)
Estimatedamount of
othercompensation
from theorganizationand related
organizations
Form (2012)
7Part VII Compensation of Officers, Directors, Trustees, Key Employees, Highest Compensated
Employees, and Independent Contractors
990
Smithsonian Institution 53-0206027
(1) Honorable John Roberts, Jr. 0.50Regent X 0. 0. 0.(2) Honorable Joseph Biden 0.50Regent X 0. 0. 0.(3) Honorable Xavier Becerra 2.00Regent X 0. 0. 0.(4) Honorable Thad Cochran 2.00Regent X 0. 0. 0.(5) Honorable Thomas Cole 2.00Regent (Jan 2013 - present) X 0. 0. 0.(6) Honorable Sam Johnson 2.00Regent X 0. 0. 0.(7) Honorable Steven LaTourette 2.00Regent (Oct 2012 - Jan 3, 2013) X 0. 0. 0.(8) Honorable Patrick Leahy 2.00Regent X 0. 0. 0.(9) Honorable Jack Reed 2.00Regent X 0. 0. 0.(10) Ms. Barbara Barrett 2.00Regent (Jan 2013 - present) X 0. 0. 0.(11) Mr. Steve Case 2.00Regent X 0. 0. 0.(12) Dr. France Cordova 16.00Regent X 0. 0. 0.(13) Dr. Shirley Ann Jackson 4.00Regent X 0. 0. 0.(14) Mr. Robert Kogod 2.00Regent X 0. 0. 0.(15) Mr. John McCarter 4.00Regent X 0. 0. 0.(16) Mr. David Rubenstein 2.00Regent X 0. 0. 0.(17) Mr. Roger Sant 2.00Regent X 0. 0. 0.
Form
er
Indi
vidu
al tr
uste
e or
dire
ctor
Inst
itutio
nal t
rust
ee
Offi
cer
Hig
hest
com
pens
ated
empl
oyee
Key
empl
oyee
(do not check more than onebox, unless person is both anofficer and a director/trustee)
23200812-10-12
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees
(B) (C)(A) (D) (E) (F)
1b
c
d
Sub-total
Total from continuation sheets to Part VII, Section A
Total (add lines 1b and 1c)
2
Yes No
3
4
5
former
3
4
5
Section B. Independent Contractors
1
(A) (B) (C)
2
(continued)
If "Yes," complete Schedule J for such individual
If "Yes," complete Schedule J for such individual
If "Yes," complete Schedule J for such person
Page Form 990 (2012)
PositionAverage hours per
week(list any
hours forrelated
organizationsbelowline)
Name and title Reportablecompensation
from the
organization(W-2/1099-MISC)
Reportablecompensationfrom related
organizations(W-2/1099-MISC)
Estimatedamount of
othercompensation
from theorganizationand related
organizations
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ |
~~~~~~~~ |
���������������������� |
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable
compensation from the organization |
Did the organization list any officer, director, or trustee, key employee, or highest compensated employee on
line 1a? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization
and related organizations greater than $150,000? ~~~~~~~~~~~~~
Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individual for services
rendered to the organization? ������������������������
Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from
the organization. Report compensation for the calendar year ending with or within the organization's tax year.
Name and business address Description of services Compensation
Total number of independent contractors (including but not limited to those listed above) who received more than
$100,000 of compensation from the organization |
Form (2012)
8Part VII
990
Smithsonian Institution 53-0206027
(18) Ms. Patricia Stonesifer 4.00Regent X 0. 0. 0.(19) G. Wayne Clough 50.00Secretary X 511,231. 0. 38,474.(20) Scott Dahl 50.00Inspector General X 168,952. 0. 28,059.(21) Albert Horvath 50.00Under Sec - Fin & Adm/CFO X 363,942. 0. 52,052.(22) John Lapiana 50.00Chief of Staff-Regents X 178,175. 0. 30,104.(23) Judith Leonard 50.00General Counsel X 177,665. 0. 30,925.(24) Sudeep Anand 50.00Treasurer X 215,696. 0. 60,801.(25) Nancy Bechtol 50.00Director - Facilities X 247,250. 0. 20,539.(26) Gregory Bokman 50.00CFO - Smithsonian Enterprises X 257,741. 0. 46,672.
2,120,652. 0. 307,626.6,469,466. 0. 992,626.8,590,118. 0. 1,300,252.
1,307
X
X
X
Clark/Smoot/Russell, A Joint Venture7500 Old Georgetown Rd., Bethesda, MD 20814 Construction 26,813,890.Grunley Construction Company888 17th Street NW, Washington, DC 20006 Construction 20,871,747.Freelon Group, 5310 S Alston Ave. #300,Durham, NC 27713-4381 Construction 20,218,532.Forrester Construction Company, 12231Parklawn Dr., Rockville, MD 20852-1792 Construction 19,088,081.Hensel Phelps Construction Company, 4437Brookefield Corp. Dr., Chantilly, VA 20151 Construction 13,326,691.
501See Part VII, Section A Continuation sheets
Indi
vidu
al tr
uste
e or
dire
ctor
Inst
itutio
nal t
rust
ee
Offi
cer
Key
empl
oyee
Hig
hest
com
pens
ated
em
ploy
ee
Form
er
23220107-25-12
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees
(A) (B) (C) (D) (E) (F)
(continued)Form 990
Name and title Average hours per
week(list any
hours forrelated
organizationsbelowline)
Position (check all that apply)
Reportablecompensation
from the
organization(W-2/1099-MISC)
Reportablecompensationfrom related
organizations(W-2/1099-MISC)
Estimatedamount of
othercompensation
from theorganizationand related
organizations
Total to Part VII, Section A, line 1c �������������������������
Part VII
Smithsonian Institution 53-0206027
(27) Claudine Brown 50.00Asst Sec - Education and Access X 240,317. 0. 45,807.(28) Deron Burba 50.00Chief Information Officer X 196,256. 0. 38,756.(29) Amy Chen 50.00Chief Investment Officer X 376,664. 0. 111,945.(30) Virginia Clark 50.00Director - Advancement & Giving X 326,841. 0. 53,774.(31) Bruce Dauer 50.00Acting Dep U/S for Fin & Adm X 254,222. 0. 42,805.(32) James Douglas 50.00Dir - Office of Human Resources X 215,838. 0. 34,064.(33) Kenneth Johnson 50.00Acting Director - OPMB X 173,236. 0. 8,237.(34) Richard Kurin 50.00Under Sec - History, Art & Culture X 293,033. 0. 56,503.(35) Christopher Liedel(4/6/12-pres) 50.00President - Smithsonian Enterprises X 290,025. 0. 52,802.(36) Evelyn Lieberman 50.00Director - Comm & External Affairs X 249,852. 0. 36,468.(37) Era Marshall 50.00Dir-Equal Emplymt & Minority Affairs X 163,415. 0. 14,644.(38) Thomas Ott (10/1/11-4/5/12) 50.00President - Smithsonian Enterprises X 398,347. 0. 49,566.(39) Mary Payne 50.00Director - Office of Govt Relations X 225,160. 0. 38,767.(40) Eva Pell 50.00Under Secretary - Science X 318,948. 0. 40,164.(41) Andrew Zino 50.00Comptroller X 162,595. 0. 24,161.(42) Michael Caruso 50.00Editor in Chief-Smithsonian Magazine X 285,282. 0. 52,489.(43) Alan Chu 50.00SVP Media Group-Smithsonian Enterpri X 284,745. 0. 45,765.(44) John Dailey 50.00Director - NASM X 295,178. 0. 37,160.(45) Richard Koshalek(10/12-6/29/13) 50.00Director - HMSG X 316,037. 0. 52,734.(46) Carol LeBlanc 50.00SVP - Smithsonian Enterprises X 305,099. 0. 40,348.
Indi
vidu
al tr
uste
e or
dire
ctor
Inst
itutio
nal t
rust
ee
Offi
cer
Key
empl
oyee
Hig
hest
com
pens
ated
em
ploy
ee
Form
er
23220107-25-12
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees
(A) (B) (C) (D) (E) (F)
(continued)Form 990
Name and title Average hours per
week(list any
hours forrelated
organizationsbelowline)
Position (check all that apply)
Reportablecompensation
from the
organization(W-2/1099-MISC)
Reportablecompensationfrom related
organizations(W-2/1099-MISC)
Estimatedamount of
othercompensation
from theorganizationand related
organizations
Total to Part VII, Section A, line 1c �������������������������
Part VII
Smithsonian Institution 53-0206027
(47) Charles R. Alcock 50.00Former Acting Under Sec - Science X 151,239. 0. 20,367.(48) Alison McNally 50.00Former Under Secretary-Finance X 187,248. 0. 6,574.(49) Scott Miller 50.00Former Acting Under Sec-Science X 165,760. 0. 25,408.(50) Michael Pickett 50.00Former Acting Inspector General X 129,464. 0. 8,954.(51) Christian Samper 0.00Former Acting Secretary X 197,886. 0. 39,477.(52) Ira Rubinoff 50.00Former Acting Under Sec - Science X 102,209. 0. 7,837.(53) Marsha Shaines 50.00Former Acting General Counsel X 164,570. 0. 7,050.
6,469,466. 992,626.
Noncash contributions included in lines 1a-1f: $
23200912-10-12
Total revenue.
(A) (B) (C) (D)
1 a
b
c
d
e
f
g
h
1
1
1
1
1
1
a
b
c
d
e
f
Co
ntr
ibu
tio
ns, G
ifts
, G
ran
tsa
nd
Oth
er
Sim
ila
r A
mo
un
ts
Total.
a
b
c
d
e
f
g
2
Pro
gra
m S
erv
ice
Re
ven
ue
Total.
3
4
5
6 a
b
c
d
a
b
c
d
7
a
b
c
8
a
b
9 a
b
c
a
b
10 a
b
c
a
b
11 a
b
c
d
e Total.
Oth
er
Re
ven
ue
12
Revenue excludedfrom tax undersections 512,513, or 514
All other contributions, gifts, grants, and
similar amounts not included above
See instructions.
Form (2012)
Page Form 990 (2012)
Check if Schedule O contains a response to any question in this Part VIII ���������������������������
Total revenue Related orexempt function
revenue
Unrelatedbusinessrevenue
Federated campaigns
Membership dues
~~~~~~
~~~~~~~~
Fundraising events
Related organizations
~~~~~~~~
~~~~~~
Government grants (contributions)
~~
Add lines 1a-1f ����������������� |
Business Code
All other program service revenue ~~~~~
Add lines 2a-2f ����������������� |
Investment income (including dividends, interest, and
other similar amounts)
Income from investment of tax-exempt bond proceeds
~~~~~~~~~~~~~~~~~ |
|
Royalties ����������������������� |
(i) Real (ii) Personal
Gross rents
Less: rental expenses
Rental income or (loss)
Net rental income or (loss)
~~~~~~~
~~~
~~
�������������� |
Gross amount from sales of
assets other than inventory
(i) Securities (ii) Other
Less: cost or other basis
and sales expenses
Gain or (loss)
~~~
~~~~~~~
Net gain or (loss) ������������������� |
Gross income from fundraising events (not
including $ of
contributions reported on line 1c). See
Part IV, line 18 ~~~~~~~~~~~~~
Less: direct expenses~~~~~~~~~~
Net income or (loss) from fundraising events ����� |
Gross income from gaming activities. See
Part IV, line 19 ~~~~~~~~~~~~~
Less: direct expenses
Net income or (loss) from gaming activities
~~~~~~~~~
������ |
Gross sales of inventory, less returns
and allowances ~~~~~~~~~~~~~
Less: cost of goods sold
Net income or (loss) from sales of inventory
~~~~~~~~
������ |
Miscellaneous Revenue Business Code
All other revenue ~~~~~~~~~~~~~
Add lines 11a-11d ~~~~~~~~~~~~~~~ |
|�������������
9Part VIII Statement of Revenue
990
Smithsonian Institution 53-0206027
58,719.14,950,998.3,425,948.
51,448.923,199,454.
178,844,202.11,617,639.
1,120,530,769.
Visitors/Members/Emplo 900099 40,516,333. 22,684,375. 17,831,958.Subscriptions-magazine 511120 36,836,203. 36,836,203.Theater Income 711110 9,357,308. 8,488,363. 868,945.Tours/Classes 900099 8,861,710. 8,849,558. 12,152.Traveling Exhibitions 900099 2,268,959. 2,268,959.
900099 100,000. 100,000.97,940,513.
9,504,224. 9,504,224.
11,117,852. 11,117,852.
747,173,600. 4,461,412.
668,628,096. 0.78,545,504. 4,461,412.
83,006,916. 4,461,412. 78,545,504.
3,425,948.
648,573.1,413,242.
-764,669. -764,669.
59,981,136.23,306,854.
36,674,282. 34,423,275. 2,251,007.
Magazine/Website Adver 541800 13,577,144. 13,577,144.
13,577,144.1,371,587,031. 118,012,145. 16,809,248. 116,234,869.
Check here if following SOP 98-2 (ASC 958-720)
232010 12-10-12
Total functional expenses.
Joint costs.
(A) (B) (C) (D)
1
2
3
4
5
6
7
8
9
10
11
a
b
c
d
e
f
g
12
13
14
15
16
17
18
19
20
21
22
23
24
a
b
c
d
e
25
26
Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A).
Grants and other assistance to governments and
organizations in the United States. See Part IV, line 21
Compensation not included above, to disqualified
persons (as defined under section 4958(f)(1)) and
persons described in section 4958(c)(3)(B)
Pension plan accruals and contributions (include
section 401(k) and 403(b) employer contributions)
Professional fundraising services. See Part IV, line 17
(If line 11g amount exceeds 10% of line 25,
column (A) amount, list line 11g expenses on Sch O.)
Other expenses. Itemize expenses not covered above. (List miscellaneous expenses in line 24e. If line24e amount exceeds 10% of line 25, column (A)amount, list line 24e expenses on Schedule O.)
Add lines 1 through 24e
Complete this line only if the organization
reported in column (B) joint costs from a combined
educational campaign and fundraising solicitation.
Form 990 (2012) Page
Check if Schedule O contains a response to any question in this Part IX ��������������������������
Total expenses Program serviceexpenses
Management andgeneral expenses
Fundraisingexpenses
Grants and other assistance to individuals in
the United States. See Part IV, line 22 ~~~
Grants and other assistance to governments,
organizations, and individuals outside the
United States. See Part IV, lines 15 and 16 ~
Benefits paid to or for members ~~~~~~~
Compensation of current officers, directors,
trustees, and key employees ~~~~~~~~
~~~
Other salaries and wages ~~~~~~~~~~
Other employee benefits ~~~~~~~~~~
Payroll taxes ~~~~~~~~~~~~~~~~
Fees for services (non-employees):
Management
Legal
Accounting
Lobbying
~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~
Investment management fees
Other.
~~~~~~~~
Advertising and promotion
Office expenses
Information technology
Royalties
~~~~~~~~~
~~~~~~~~~~~~~~~
~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~
Occupancy ~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~Travel
Payments of travel or entertainment expenses
for any federal, state, or local public officials
Conferences, conventions, and meetings ~~
Interest
Payments to affiliates
~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~
Depreciation, depletion, and amortization
Insurance
~~
~~~~~~~~~~~~~~~~~
~~
All other expenses
|
Form (2012)
Do not include amounts reported on lines 6b,7b, 8b, 9b, and 10b of Part VIII.
10Part IX Statement of Functional Expenses
990
Smithsonian Institution 53-0206027
219,123. 219,123.
11,272,307. 11,272,307.
5,083,019. 5,083,019.
6,882,559. 2,106,360. 4,377,082. 399,117.
3,358,720. 2,972,799. 385,921.459,778,895. 338,656,809. 104,085,557. 17,036,529.
60,488,979. 42,898,156. 15,280,432. 2,310,391.43,867,772. 36,057,415. 6,289,094. 1,521,263.31,618,627. 23,128,182. 7,264,560. 1,225,885.
557,344. 244,763. 267,086. 45,495.898,339. 898,339.
7,065,864. 7,065,864.1,988,099. 1,988,099.
92,978,521. 73,160,065. 15,865,693. 3,952,763.4,647,736. 4,137,171. 239,583. 270,982.
50,759,390. 39,878,255. 7,692,583. 3,188,552.36,840,599. 7,741,931. 29,193,025. -94,357.
372,751. 372,751.111,998,102. 94,016,883. 16,769,040. 1,212,179.13,764,876. 11,240,999. 1,458,422. 1,065,455.
3,981,081. 2,535,138. 1,274,541. 171,402.1,117,442. 1,117,442.
121,494,090. 104,549,776. 16,708,976. 235,338.1,050,554. 520,027. 530,427. 100.
Periodical Prod Costs 41,910,234. 41,533,232. -43,464. 420,466.Research/Subcontracts 33,944,951. 33,944,951.Collections & Equipmnt 14,389,891. 11,059,811. 3,279,932. 50,148.OH Cost Recovery Grants 0. 24,155,890. -24,155,890.
1,162,329,865. 912,603,255. 209,649,038. 40,077,572.
X 11,086,796. 6,716,802. 0. 4,369,994.
23201112-10-12
(A) (B)
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
1
2
3
4
5
6
7
8
9
10c
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
a
b
10a
10b
Asse
ts
Total assets.
Lia
bilit
ies
Total liabilities.
Organizations that follow SFAS 117 (ASC 958), check here and
complete lines 27 through 29, and lines 33 and 34.
27
28
29
Organizations that do not follow SFAS 117 (ASC 958), check here
and complete lines 30 through 34.
30
31
32
33
34
Ne
t A
sse
ts o
r F
un
d B
ala
nc
es
Form 990 (2012) Page
Check if Schedule O contains a response to any question in this Part X ������������������������������
Beginning of year End of year
Cash - non-interest-bearing
Savings and temporary cash investments
Pledges and grants receivable, net
~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~
Accounts receivable, net ~~~~~~~~~~~~~~~~~~~~~~~~~~
Loans and other receivables from current and former officers, directors,
trustees, key employees, and highest compensated employees. Complete
Part II of Schedule L ~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Loans and other receivables from other disqualified persons (as defined under
section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing
employers and sponsoring organizations of section 501(c)(9) voluntary
employees' beneficiary organizations (see instr). Complete Part II of Sch L ~~
Notes and loans receivable, net
Inventories for sale or use
Prepaid expenses and deferred charges
~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~
Land, buildings, and equipment: cost or other
basis. Complete Part VI of Schedule D
Less: accumulated depreciation
~~~
~~~~~~
Investments - publicly traded securities
Investments - other securities. See Part IV, line 11
Investments - program-related. See Part IV, line 11
Intangible assets
~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~
~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Other assets. See Part IV, line 11 ~~~~~~~~~~~~~~~~~~~~~~
Add lines 1 through 15 (must equal line 34) ����������
Accounts payable and accrued expenses
Grants payable
Deferred revenue
~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Tax-exempt bond liabilities
Escrow or custodial account liability. Complete Part IV of Schedule D
~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~
Loans and other payables to current and former officers, directors, trustees,
key employees, highest compensated employees, and disqualified persons.
Complete Part II of Schedule L ~~~~~~~~~~~~~~~~~~~~~~~
Secured mortgages and notes payable to unrelated third parties ~~~~~~
Unsecured notes and loans payable to unrelated third parties ~~~~~~~~
Other liabilities (including federal income tax, payables to related third
parties, and other liabilities not included on lines 17-24). Complete Part X of
Schedule D ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Add lines 17 through 25 ������������������
|
Unrestricted net assets
Temporarily restricted net assets
Permanently restricted net assets
~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~
|
Capital stock or trust principal, or current funds
Paid-in or capital surplus, or land, building, or equipment fund
Retained earnings, endowment, accumulated income, or other funds
~~~~~~~~~~~~~~~
~~~~~~~~
~~~~
Total net assets or fund balances ~~~~~~~~~~~~~~~~~~~~~~
Total liabilities and net assets/fund balances ����������������
Form (2012)
11Balance SheetPart X
990
Smithsonian Institution 53-0206027
530,237,258. 498,183,220.19,231,139. 56,691,155.
216,836,635. 256,777,273.52,296,083. 41,497,121.
9,255,964. 10,218,715.11,286,159. 11,993,467.
3,532,756,070.1,646,510,393. 1,789,043,339. 1,886,245,677.
339,139,972. 332,008,630.808,510,166. 926,210,038.11,041,159. 15,692,679.
8,731,655. 10,790,104.3,795,609,529. 4,046,308,079.275,824,850. 287,731,437.
372,842,002. 341,886,107.107,824,069. 106,297,914.
0. 69,150,000.756,490,921. 805,065,458.
X
2,096,101,402. 2,164,167,948.585,179,809. 683,991,907.357,837,397. 393,082,766.
3,039,118,608. 3,241,242,621.3,795,609,529. 4,046,308,079.
23201212-10-12
1
2
3
4
5
6
7
8
9
10
1
2
3
4
5
6
7
8
9
10
Yes No
1
2
3
a
b
c
2a
2b
2c
a
b
3a
3b
Form 990 (2012) Page
Check if Schedule O contains a response to any question in this Part XI �����������������������������
Total revenue (must equal Part VIII, column (A), line 12)
Total expenses (must equal Part IX, column (A), line 25)
Revenue less expenses. Subtract line 2 from line 1
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A))
~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~
Net unrealized gains (losses) on investments
Donated services and use of facilities
Investment expenses
Prior period adjustments
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Other changes in net assets or fund balances (explain in Schedule O)
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33,
column (B))
~~~~~~~~~~~~~~~~~~~
�����������������������������������������������
Check if Schedule O contains a response to any question in this Part XII�����������������������������
Accounting method used to prepare the Form 990: Cash Accrual Other
If the organization changed its method of accounting from a prior year or checked "Other," explain in Schedule O.
Were the organization's financial statements compiled or reviewed by an independent accountant? ~~~~~~~~~~~~
If "Yes," check a box below to indicate whether the financial statements for the year were compiled or reviewed on a
separate basis, consolidated basis, or both:
Separate basis Consolidated basis Both consolidated and separate basis
Were the organization's financial statements audited by an independent accountant? ~~~~~~~~~~~~~~~~~~~
If "Yes," check a box below to indicate whether the financial statements for the year were audited on a separate basis,
consolidated basis, or both:
Separate basis Consolidated basis Both consolidated and separate basis
If "Yes" to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit,
review, or compilation of its financial statements and selection of an independent accountant?~~~~~~~~~~~~~~~
If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O.
As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit
Act and OMB Circular A-133? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
If "Yes," did the organization undergo the required audit or audits? If the organization did not undergo the required audit
or audits, explain why in Schedule O and describe any steps taken to undergo such audits ����������������
Form (2012)
12Part XI Reconciliation of Net Assets
Part XII Financial Statements and Reporting
990
Smithsonian Institution 53-0206027
X
1,371,587,031.1,162,329,865.209,257,166.
3,039,118,608.54,970,569.
-62,103,722.
3,241,242,621.
X
X
X
X
X
X
X
OMB No. 1545-0047
Department of the TreasuryInternal Revenue Service
23202112-04-12
(iii)
(see instructions)
(iv) (i)
(v)
(i)
(vi)
(i)
(i) (ii) (vii)
(Form 990 or 990-EZ)
Complete if the organization is a section 501(c)(3) organization or a section
4947(a)(1) nonexempt charitable trust.
| Attach to Form 990 or Form 990-EZ. | See separate instructions.
Open to PublicInspection
Name of the organization Employer identification number
1
2
3
4
5
6
7
8
9
10
11
section 170(b)(1)(A)(i).
section 170(b)(1)(A)(ii).
section 170(b)(1)(A)(iii).
section 170(b)(1)(A)(iii).
section 170(b)(1)(A)(iv).
section 170(b)(1)(A)(v).
section 170(b)(1)(A)(vi).
section 170(b)(1)(A)(vi).
section 509(a)(2).
section 509(a)(4).
section 509(a)(3).
a b c d
e
f
g
h
(i)
(ii)
(iii)
Yes No
11g(i)
11g(ii)
11g(iii)
Yes No Yes No Yes No
Total
For Paperwork Reduction Act Notice, see the Instructions for
Form 990 or 990-EZ.
Schedule A (Form 990 or 990-EZ) 2012
Type of organization (described on lines 1-9 above or IRC section
)
Is the organizationin col. listed in yourgoverning document?
Did you notify theorganization in col.
of your support?
Is theorganization in col.
organized in theU.S.?
Name of supportedorganization
EIN Amount of monetarysupport
(All organizations must complete this part.) See instructions.
The organization is not a private foundation because it is: (For lines 1 through 11, check only one box.)
A church, convention of churches, or association of churches described in
A school described in (Attach Schedule E.)
A hospital or a cooperative hospital service organization described in
A medical research organization operated in conjunction with a hospital described in Enter the hospital's name,
city, and state:
An organization operated for the benefit of a college or university owned or operated by a governmental unit described in
(Complete Part II.)
A federal, state, or local government or governmental unit described in
An organization that normally receives a substantial part of its support from a governmental unit or from the general public described in
(Complete Part II.)
A community trust described in (Complete Part II.)
An organization that normally receives: (1) more than 33 1/3% of its support from contributions, membership fees, and gross receipts from
activities related to its exempt functions - subject to certain exceptions, and (2) no more than 33 1/3% of its support from gross investment
income and unrelated business taxable income (less section 511 tax) from businesses acquired by the organization after June 30, 1975.
See (Complete Part III.)
An organization organized and operated exclusively to test for public safety. See
An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out the purposes of one or
more publicly supported organizations described in section 509(a)(1) or section 509(a)(2). See Check the box that
describes the type of supporting organization and complete lines 11e through 11h.
Type I Type II Type III - Functionally integrated Type III - Non-functionally integrated
By checking this box, I certify that the organization is not controlled directly or indirectly by one or more disqualified persons other than
foundation managers and other than one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2).
If the organization received a written determination from the IRS that it is a Type I, Type II, or Type III
supporting organization, check this box
Since August 17, 2006, has the organization accepted any gift or contribution from any of the following persons?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
A person who directly or indirectly controls, either alone or together with persons described in (ii) and (iii) below,
the governing body of the supported organization?
A family member of a person described in (i) above?
A 35% controlled entity of a person described in (i) or (ii) above?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~
Provide the following information about the supported organization(s).
LHA
SCHEDULE A
Part I Reason for Public Charity Status
Public Charity Status and Public Support 2012
Smithsonian Institution 53-0206027
X
Subtract line 5 from line 4.
23202212-04-12
Calendar year (or fiscal year beginning in)
Calendar year (or fiscal year beginning in) |
2
(a) (b) (c) (d) (e) (f)
1
2
3
4
5
Total.
6 Public support.
(a) (b) (c) (d) (e) (f)
7
8
9
10
11
12
13
Total support.
12
First five years.
stop here
14
15
14
15
16
17
18
a
b
a
b
33 1/3% support test - 2012.
stop here.
33 1/3% support test - 2011.
stop here.
10% -facts-and-circumstances test - 2012.
stop here.
10% -facts-and-circumstances test - 2011.
stop here.
Private foundation.
Schedule A (Form 990 or 990-EZ) 2012
|
Add lines 7 through 10
Schedule A (Form 990 or 990-EZ) 2012 Page
(Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part III. If the organization
fails to qualify under the tests listed below, please complete Part III.)
2008 2009 2010 2011 2012 Total
Gifts, grants, contributions, and
membership fees received. (Do not
include any "unusual grants.") ~~
Tax revenues levied for the organ-
ization's benefit and either paid to
or expended on its behalf ~~~~
The value of services or facilities
furnished by a governmental unit to
the organization without charge ~
Add lines 1 through 3 ~~~
The portion of total contributions
by each person (other than a
governmental unit or publicly
supported organization) included
on line 1 that exceeds 2% of the
amount shown on line 11,
column (f) ~~~~~~~~~~~~
2008 2009 2010 2011 2012 Total
Amounts from line 4 ~~~~~~~
Gross income from interest,
dividends, payments received on
securities loans, rents, royalties
and income from similar sources ~
Net income from unrelated business
activities, whether or not the
business is regularly carried on ~
Other income. Do not include gain
or loss from the sale of capital
assets (Explain in Part IV.) ~~~~
Gross receipts from related activities, etc. (see instructions) ~~~~~~~~~~~~~~~~~~~~~~~
If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3)
organization, check this box and ��������������������������������������������� |
~~~~~~~~~~~~Public support percentage for 2012 (line 6, column (f) divided by line 11, column (f))
Public support percentage from 2011 Schedule A, Part II, line 14
%
%~~~~~~~~~~~~~~~~~~~~~
If the organization did not check the box on line 13, and line 14 is 33 1/3% or more, check this box and
The organization qualifies as a publicly supported organization ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ |
If the organization did not check a box on line 13 or 16a, and line 15 is 33 1/3% or more, check this box
and The organization qualifies as a publicly supported organization ~~~~~~~~~~~~~~~~~~~~~~~~~~~~ |
If the organization did not check a box on line 13, 16a, or 16b, and line 14 is 10% or more,
and if the organization meets the "facts-and-circumstances" test, check this box and Explain in Part IV how the organization
meets the "facts-and-circumstances" test. The organization qualifies as a publicly supported organization ~~~~~~~~~~~~~~~ |
If the organization did not check a box on line 13, 16a, 16b, or 17a, and line 15 is 10% or
more, and if the organization meets the "facts-and-circumstances" test, check this box and Explain in Part IV how the
organization meets the "facts-and-circumstances" test. The organization qualifies as a publicly supported organization ~~~~~~~~ |
If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see instructions ��� |
Part II Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)
Section A. Public Support
Section B. Total Support
Section C. Computation of Public Support Percentage
Smithsonian Institution 53-0206027
987,555,559. 1032198872. 1040181349. 1126869412. 1120530769. 5307335961.
987,555,559. 1032198872. 1040181349. 1126869412. 1120530769. 5307335961.
5307335961.
987,555,559. 1032198872. 1040181349. 1126869412. 1120530769. 5307335961.
13,821,761. 11,201,417. 17,547,653. 17,395,111. 20,622,076. 80,588,018.
910,609. 910,609.
5388834588.773,909,223.
98.4998.36
X
(Subtract line 7c from line 6.)
Amounts included on lines 2 and 3 received
from other than disqualified persons that
exceed the greater of $5,000 or 1% of the
amount on line 13 for the year
(Add lines 9, 10c, 11, and 12.)
232023 12-04-12
Calendar year (or fiscal year beginning in) |
Calendar year (or fiscal year beginning in) |
Total support.
3
(a) (b) (c) (d) (e) (f)
1
2
3
4
5
6
7
Total.
a
b
c
8 Public support
(a) (b) (c) (d) (e) (f)
9
10a
b
c11
12
13
14 First five years.
stop here
15
16
15
16
17
18
19
20
2012
2011
17
18
a
b
33 1/3% support tests - 2012.
stop here.
33 1/3% support tests - 2011.
stop here.
Private foundation.
Schedule A (Form 990 or 990-EZ) 2012
Unrelated business taxable income
(less section 511 taxes) from businesses
acquired after June 30, 1975
Schedule A (Form 990 or 990-EZ) 2012 Page
(Complete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II. If the organization fails to
qualify under the tests listed below, please complete Part II.)
2008 2009 2010 2011 2012 Total
Gifts, grants, contributions, and
membership fees received. (Do not
include any "unusual grants.") ~~
Gross receipts from admissions,merchandise sold or services per-formed, or facilities furnished inany activity that is related to theorganization's tax-exempt purpose
Gross receipts from activities that
are not an unrelated trade or bus-
iness under section 513 ~~~~~
Tax revenues levied for the organ-
ization's benefit and either paid to
or expended on its behalf ~~~~
The value of services or facilities
furnished by a governmental unit to
the organization without charge ~
~~~ Add lines 1 through 5
Amounts included on lines 1, 2, and
3 received from disqualified persons
~~~~~~
Add lines 7a and 7b ~~~~~~~
2008 2009 2010 2011 2012 Total
Amounts from line 6 ~~~~~~~Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources ~
~~~~
Add lines 10a and 10b ~~~~~~Net income from unrelated businessactivities not included in line 10b, whether or not the business is regularly carried on ~~~~~~~Other income. Do not include gainor loss from the sale of capitalassets (Explain in Part IV.) ~~~~
If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization,
check this box and ���������������������������������������������������� |
Public support percentage for 2012 (line 8, column (f) divided by line 13, column (f))
Public support percentage from 2011 Schedule A, Part III, line 15
~~~~~~~~~~~~ %
%��������������������
Investment income percentage for (line 10c, column (f) divided by line 13, column (f))
Investment income percentage from Schedule A, Part III, line 17
~~~~~~~~ %
%~~~~~~~~~~~~~~~~~~
If the organization did not check the box on line 14, and line 15 is more than 33 1/3% , and line 17 is not
more than 33 1/3% , check this box and The organization qualifies as a publicly supported organization ~~~~~~~~~~ |
If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 1/3% , and
line 18 is not more than 33 1/3% , check this box and The organization qualifies as a publicly supported organization~~~~ |
If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions �������� |
Part III Support Schedule for Organizations Described in Section 509(a)(2)
Section A. Public Support
Section B. Total Support
Section C. Computation of Public Support Percentage
Section D. Computation of Investment Income Percentage
OMB No. 1545-0047
Department of the TreasuryInternal Revenue Service
22345112-21-12
Schedule B (Form 990, 990-EZ, or 990-PF) (2012)
(Form 990, 990-EZ,or 990-PF) | Attach to Form 990, Form 990-EZ, or Form 990-PF.
Name of the organization Employer identification number
Organization type
Filers of: Section:
not
General Rule Special Rule.
Note.
General Rule
Special Rules
(1) (2)
General Rule
Caution.
must
For Paperwork Reduction Act Notice, see the Instructions for Form 990, 990-EZ, or 990-PF.
exclusively
exclusively exclusively
(check one):
Form 990 or 990-EZ 501(c)( ) (enter number) organization
4947(a)(1) nonexempt charitable trust treated as a private foundation
527 political organization
Form 990-PF 501(c)(3) exempt private foundation
4947(a)(1) nonexempt charitable trust treated as a private foundation
501(c)(3) taxable private foundation
Check if your organization is covered by the or a
Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
For an organization filing Form 990, 990-EZ, or 990-PF that received, during the year, $5,000 or more (in money or property) from any one
contributor. Complete Parts I and II.
For a section 501(c)(3) organization filing Form 990 or 990-EZ that met the 33 1/3% support test of the regulations under sections
509(a)(1) and 170(b)(1)(A)(vi) and received from any one contributor, during the year, a contribution of the greater of $5,000 or 2%
of the amount on (i) Form 990, Part VIII, line 1h, or (ii) Form 990-EZ, line 1. Complete Parts I and II.
For a section 501(c)(7), (8), or (10) organization filing Form 990 or 990-EZ that received from any one contributor, during the year,
total contributions of more than $1,000 for use for religious, charitable, scientific, literary, or educational purposes, or
the prevention of cruelty to children or animals. Complete Parts I, II, and III.
For a section 501(c)(7), (8), or (10) organization filing Form 990 or 990-EZ that received from any one contributor, during the year,
contributions for use for religious, charitable, etc., purposes, but these contributions did not total to more than $1,000.
If this box is checked, enter here the total contributions that were received during the year for an religious, charitable, etc.,
purpose. Do not complete any of the parts unless the applies to this organization because it received nonexclusively
religious, charitable, etc., contributions of $5,000 or more during the year ~~~~~~~~~~~~~~~~~ | $
An organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990, 990-EZ, or 990-PF),
but it answer "No" on Part IV, line 2, of its Form 990; or check the box on line H of its Form 990-EZ or on Part I, line 2 of its Form 990-PF, to
certify that it does not meet the filing requirements of Schedule B (Form 990, 990-EZ, or 990-PF).
LHA
Schedule B Schedule of Contributors
2012
Smithsonian Institution 53-0206027
X 3
X
223453 12-21-12
Name of organization Employer identification number
Schedule B (Form 990, 990-EZ, or 990-PF) (2012)
(a)
No.
from
Part I
(c)
FMV (or estimate)
(see instructions)
(b)
Description of noncash property given
(d)
Date received
(a)
No.
from
Part I
(c)
FMV (or estimate)
(see instructions)
(b)
Description of noncash property given
(d)
Date received
(a)
No.
from
Part I
(c)
FMV (or estimate)
(see instructions)
(b)
Description of noncash property given
(d)
Date received
(a)
No.
from
Part I
(c)
FMV (or estimate)
(see instructions)
(b)
Description of noncash property given
(d)
Date received
(a)
No.
from
Part I
(c)
FMV (or estimate)
(see instructions)
(b)
Description of noncash property given
(d)
Date received
(a)
No.
from
Part I
(c)
FMV (or estimate)
(see instructions)
(b)
Description of noncash property given
(d)
Date received
Schedule B (Form 990, 990-EZ, or 990-PF) (2012) Page
(see instructions). Use duplicate copies of Part II if additional space is needed.
$
$
$
$
$
$
3
Part II Noncash Property
Smithsonian Institution 53-0206027
(Enter this information once.)
223454 12-21-12
Name of organization Employer identification number
religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations that total more than $1,000 for theyear. (a) (e) and
$1,000 or less
Schedule B (Form 990, 990-EZ, or 990-PF) (2012)
(a) No.fromPart I
(b) Purpose of gift (c) Use of gift (d) Description of how gift is held
(e) Transfer of gift
Transferee's name, address, and ZIP + 4 Relationship of transferor to transferee
(a) No.fromPart I
(b) Purpose of gift (c) Use of gift (d) Description of how gift is held
(e) Transfer of gift
Transferee's name, address, and ZIP + 4 Relationship of transferor to transferee
(a) No.fromPart I
(b) Purpose of gift (c) Use of gift (d) Description of how gift is held
(e) Transfer of gift
Transferee's name, address, and ZIP + 4 Relationship of transferor to transferee
(a) No.fromPart I
(b) Purpose of gift (c) Use of gift (d) Description of how gift is held
(e) Transfer of gift
Transferee's name, address, and ZIP + 4 Relationship of transferor to transferee
exclusively Complete columns through the following line entry. For organizations completing Part III, enter
the total of religious, charitable, etc., contributions of for the year.
Schedule B (Form 990, 990-EZ, or 990-PF) (2012) Page
| $
Use duplicate copies of Part III if additional space is needed.
Exclusively
4
Part IIISmithsonian Institution 53-0206027
OMB No. 1545-0047
Department of the TreasuryInternal Revenue Service
23204101-07-13
(Form 990 or 990-EZ)For Organizations Exempt From Income Tax Under section 501(c) and section 527
Open to PublicInspection
Complete if the organization is described below. Attach to Form 990 or Form 990-EZ.
| See separate instructions.
If the organization answered "Yes," to Form 990, Part IV, line 3, or Form 990-EZ, Part V, line 46 (Political Campaign Activities), then
If the organization answered "Yes," to Form 990, Part IV, line 4, or Form 990-EZ, Part VI, line 47 (Lobbying Activities), then
If the organization answered "Yes," to Form 990, Part IV, line 5 (Proxy Tax), or Form 990-EZ, Part V, line 35c (Proxy Tax), then
Employer identification number
1
2
3
1
2
3
4
Yes No
a
b
Yes No
1
2
3
4
5
Form 1120-POL Yes No
(a) (b) (c) (d) (e)
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Schedule C (Form 990 or 990-EZ) 2012
¥ Section 501(c)(3) organizations: Complete Parts I-A and B. Do not complete Part I-C.
¥ Section 501(c) (other than section 501(c)(3)) organizations: Complete Parts I-A and C below. Do not complete Part I-B.
¥ Section 527 organizations: Complete Part I-A only.
¥ Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)): Complete Part II-A. Do not complete Part II-B.
¥ Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)): Complete Part II-B. Do not complete Part II-A.
¥ Section 501(c)(4), (5), or (6) organizations: Complete Part III.Name of organization
Provide a description of the organization's direct and indirect political campaign activities in Part IV.
Political expenditures
Volunteer hours
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ $
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Enter the amount of any excise tax incurred by the organization under section 4955
Enter the amount of any excise tax incurred by organization managers under section 4955
If the organization incurred a section 4955 tax, did it file Form 4720 for this year?
~~~~~~~~~~~~~ $
~~~~~~~~~~ $
~~~~~~~~~~~~~~~~~~~
Was a correction made?
If "Yes," describe in Part IV.
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Enter the amount directly expended by the filing organization for section 527 exempt function activities
Enter the amount of the filing organization's funds contributed to other organizations for section 527
exempt function activities
~~~~ $
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ $
Total exempt function expenditures. Add lines 1 and 2. Enter here and on Form 1120-POL,
line 17b
Did the filing organization file for this year?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ $
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing organization
made payments. For each organization listed, enter the amount paid from the filing organization's funds. Also enter the amount of political
contributions received that were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a
political action committee (PAC). If additional space is needed, provide information in Part IV.
Name Address EIN Amount paid fromfiling organization's
funds. If none, enter -0-.
Amount of politicalcontributions received and
promptly and directlydelivered to a separatepolitical organization.
If none, enter -0-.
LHA
SCHEDULE C
Part I-A Complete if the organization is exempt under section 501(c) or is a section 527 organization.
Part I-B Complete if the organization is exempt under section 501(c)(3).
Part I-C Complete if the organization is exempt under section 501(c), except section 501(c)(3).
Political Campaign and Lobbying Activities2012
J J
J
JJ
J
J
J
Smithsonian Institution 53-0206027
0.
0.0.
23204201-07-13
If the amount on line 1e, column (a) or (b) is:
2
A
B
Limits on Lobbying Expenditures(The term "expenditures" means amounts paid or incurred.)
(a) (b)
1a
b
c
d
e
f
The lobbying nontaxable amount is:
g
h
i
j
Yes No
4-Year Averaging Period Under Section 501(h)(Some organizations that made a section 501(h) election do not have to complete all of the five
columns below. See the instructions for lines 2a through 2f on page 4.)
Lobbying Expenditures During 4-Year Averaging Period
(a) (b) (c) (d) (e)
2a
b
c
d
e
f
Schedule C (Form 990 or 990-EZ) 2012
Schedule C (Form 990 or 990-EZ) 2012 Page
Check if the filing organization belongs to an affiliated group (and list in Part IV each affiliated group member's name, address, EIN,
expenses, and share of excess lobbying expenditures).
Check if the filing organization checked box A and "limited control" provisions apply.
Filingorganization's
totals
Affiliated grouptotals
Total lobbying expenditures to influence public opinion (grass roots lobbying)
Total lobbying expenditures to influence a legislative body (direct lobbying)
~~~~~~~~~~
~~~~~~~~~~~
Total lobbying expenditures (add lines 1a and 1b)
Other exempt purpose expenditures
~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Total exempt purpose expenditures (add lines 1c and 1d)
Lobbying nontaxable amount. Enter the amount from the following table in both columns.
~~~~~~~~~~~~~~~~~~~~
Not over $500,000
Over $500,000 but not over $1,000,000
Over $1,000,000 but not over $1,500,000
Over $1,500,000 but not over $17,000,000
Over $17,000,000
20% of the amount on line 1e.
$100,000 plus 15% of the excess over $500,000.
$175,000 plus 10% of the excess over $1,000,000.
$225,000 plus 5% of the excess over $1,500,000.
$1,000,000.
Grassroots nontaxable amount (enter 25% of line 1f)
Subtract line 1g from line 1a. If zero or less, enter -0-
Subtract line 1f from line 1c. If zero or less, enter -0-
~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~
If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720
reporting section 4911 tax for this year? ��������������������������������������
Calendar year (or fiscal year beginning in)
2009 2010 2011 2012 Total
Lobbying nontaxable amount
Lobbying ceiling amount
(150% of line 2a, column(e))
Total lobbying expenditures
Grassroots nontaxable amount
Grassroots ceiling amount
(150% of line 2d, column (e))
Grassroots lobbying expenditures
Part II-A Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election under section 501(h)).
J
J
Smithsonian Institution 53-0206027
23204301-07-13
3
(a) (b)
Yes No Amount
1
a
b
c
d
e
f
g
h
i
j
a
b
c
d
2
Yes No
1
2
3
1
2
3
1
2
3
4
5
(do not include amounts of political
expenses for which the section 527(f) tax was paid).
1
2a
2b
2c
3
4
5
a
b
c
Schedule C (Form 990 or 990-EZ) 2012
For each "Yes," response to lines 1a through 1i below, provide in Part IV a detailed descriptionof the lobbying activity.
Schedule C (Form 990 or 990-EZ) 2012 Page
During the year, did the filing organization attempt to influence foreign, national, state or
local legislation, including any attempt to influence public opinion on a legislative matter
or referendum, through the use of:
Volunteers?
Paid staff or management (include compensation in expenses reported on lines 1c through 1i)?
Media advertisements?
Mailings to members, legislators, or the public?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~
Publications, or published or broadcast statements?
Grants to other organizations for lobbying purposes?
~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~
Direct contact with legislators, their staffs, government officials, or a legislative body?
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means?
Other activities?
~~~~~~
~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Total. Add lines 1c through 1i
Did the activities in line 1 cause the organization to be not described in section 501(c)(3)?
If "Yes," enter the amount of any tax incurred under section 4912
If "Yes," enter the amount of any tax incurred by organization managers under section 4912
If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~
~~~~~~~~~~~~~~~~
~~~
������
Were substantially all (90% or more) dues received nondeductible by members?
Did the organization make only in-house lobbying expenditures of $2,000 or less?
Did the organization agree to carry over lobbying and political expenditures from the prior year?
~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~
���������
Dues, assessments and similar amounts from members
Section 162(e) nondeductible lobbying and political expenditures
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Current year
Carryover from last year
Total
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues
If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess
does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political
expenditure next year?
~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Taxable amount of lobbying and political expenditures (see instructions) ���������������������
Complete this part to provide the descriptions required for Part I-A, line 1; Part I-B, line 4; Part I-C, line 5; Part II-A (affiliated group list); Part II-A, line 2;
and Part II-B, line 1. Also, complete this part for any additional information.
Part II-B Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768(election under section 501(h)).
Part III-A Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6).
Part III-B Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6) and if either (a) BOTH Part III-A, lines 1 and 2, are answered "No," OR (b) Part III-A, line 3, isanswered "Yes."
Part IV Supplemental Information
Smithsonian Institution 53-0206027
XX
XXXX
X 700.XX
700.X
Part II-B, Line 1, Lobbying Activities:
The Smithsonian Institution requested support for capital improvements
and educational programs for the Cooper-Hewitt National Design Museum
in New York City from NYC and the State of New York. Smithsonian staff
met with public officials on one occasion, and the value of staff time
and direct expenses spent in connection with this meeting was $700.
OMB No. 1545-0047
Department of the TreasuryInternal Revenue Service
23205112-10-12
Held at the End of the Tax Year
(Form 990) | Complete if the organization answered "Yes," to Form 990,
Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b.
| Attach to Form 990. | See separate instructions.Open to PublicInspection
Name of the organization Employer identification number
(a) (b)
1
2
3
4
5
6
Yes No
Yes No
1
2
3
4
5
6
7
8
9
a
b
c
d
2a
2b
2c
2d
Yes No
Yes No
1
2
a
b
(i)
(ii)
a
b
For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule D (Form 990) 2012
Complete if the
organization answered "Yes" to Form 990, Part IV, line 6.
Donor advised funds Funds and other accounts
Total number at end of year
Aggregate contributions to (during year)
Aggregate grants from (during year)
Aggregate value at end of year
~~~~~~~~~~~~~~~
~~~~~~~~
~~~~~~~~~~
~~~~~~~~~~~~~
Did the organization inform all donors and donor advisors in writing that the assets held in donor advised funds
are the organization's property, subject to the organization's exclusive legal control?~~~~~~~~~~~~~~~~~~
Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can be used only
for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferring
impermissible private benefit? ��������������������������������������������
Complete if the organization answered "Yes" to Form 990, Part IV, line 7.
Purpose(s) of conservation easements held by the organization (check all that apply).
Preservation of land for public use (e.g., recreation or education)
Protection of natural habitat
Preservation of open space
Preservation of an historically important land area
Preservation of a certified historic structure
Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last
day of the tax year.
Total number of conservation easements
Total acreage restricted by conservation easements
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~
Number of conservation easements on a certified historic structure included in (a)
Number of conservation easements included in (c) acquired after 8/17/06, and not on a historic structure
listed in the National Register
~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during the tax
year |
Number of states where property subject to conservation easement is located |
Does the organization have a written policy regarding the periodic monitoring, inspection, handling of
violations, and enforcement of the conservation easements it holds? ~~~~~~~~~~~~~~~~~~~~~~~~~
Staff and volunteer hours devoted to monitoring, inspecting, and enforcing conservation easements during the year |
Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements during the year | $
Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B)(i)
and section 170(h)(4)(B)(ii)? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and balance sheet, and
include, if applicable, the text of the footnote to the organization's financial statements that describes the organization's accounting for
conservation easements.
Complete if the organization answered "Yes" to Form 990, Part IV, line 8.
If the organization elected, as permitted under SFAS 116 (ASC 958), not to report in its revenue statement and balance sheet works of art,
historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part XIII,
the text of the footnote to its financial statements that describes these items.
If the organization elected, as permitted under SFAS 116 (ASC 958), to report in its revenue statement and balance sheet works of art, historical
treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts
relating to these items:
Revenues included in Form 990, Part VIII, line 1
Assets included in Form 990, Part X
~~~~~~~~~~~~~~~~~~~~~~~~~~~~ | $
$~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ |
If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide
the following amounts required to be reported under SFAS 116 (ASC 958) relating to these items:
Revenues included in Form 990, Part VIII, line 1
Assets included in Form 990, Part X
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ | $
$~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ |
LHA
Part I Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts.
Part II Conservation Easements.
Part III Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.
SCHEDULE D Supplemental Financial Statements 2012
Smithsonian Institution 53-0206027
23205212-10-12
3
4
5
a
b
c
d
e
Yes No
1
2
a
b
c
d
e
f
a
b
Yes No
1c
1d
1e
1f
Yes No
(a) (b) (c) (d) (e)
1
2
3
4
a
b
c
d
e
f
g
a
b
c
a
b
Yes No
(i)
(ii)
3a(i)
3a(ii)
3b
(a) (b) (c) (d)
1a
b
c
d
e
Total.
Schedule D (Form 990) 2012
(continued)
(Column (d) must equal Form 990, Part X, column (B), line 10(c).)
Two years back Three years back Four years back
Schedule D (Form 990) 2012 Page
Using the organization's acquisition, accession, and other records, check any of the following that are a significant use of its collection items
(check all that apply):
Public exhibition
Scholarly research
Preservation for future generations
Loan or exchange programs
Other
Provide a description of the organization's collections and explain how they further the organization's exempt purpose in Part XIII.
During the year, did the organization solicit or receive donations of art, historical treasures, or other similar assets
to be sold to raise funds rather than to be maintained as part of the organization's collection? ������������
Complete if the organization answered "Yes" to Form 990, Part IV, line 9, orreported an amount on Form 990, Part X, line 21.
Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not included
on Form 990, Part X?
If "Yes," explain the arrangement in Part XIII and complete the following table:
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Amount
Beginning balance
Additions during the year
Distributions during the year
Ending balance
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Did the organization include an amount on Form 990, Part X, line 21?
If "Yes," explain the arrangement in Part XIII. Check here if the explanation has been provided in Part XIII
~~~~~~~~~~~~~~~~~~~~~~~~~
�������������
Complete if the organization answered "Yes" to Form 990, Part IV, line 10.
Current year Prior year
Beginning of year balance
Contributions
Net investment earnings, gains, and losses
Grants or scholarships
~~~~~~~
~~~~~~~~~~~~~~
~~~~~~~~~
Other expenditures for facilities
and programs
Administrative expenses
End of year balance
~~~~~~~~~~~~~
~~~~~~~~
~~~~~~~~~~
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
Board designated or quasi-endowment
Permanent endowment
Temporarily restricted endowment
The percentages in lines 2a, 2b, and 2c should equal 100% .
| %
| %
| %
Are there endowment funds not in the possession of the organization that are held and administered for the organization
by:
unrelated organizations
related organizations
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R?
Describe in Part XIII the intended uses of the organization's endowment funds.
~~~~~~~~~~~~~~~~~~~~~~
See Form 990, Part X, line 10.
Description of property Cost or otherbasis (investment)
Cost or otherbasis (other)
Accumulateddepreciation
Book value
Land
Buildings
Leasehold improvements
~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~
~~~~~~~~~~
Equipment
Other
~~~~~~~~~~~~~~~~~
��������������������
Add lines 1a through 1e. |������������
2Part III Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets
Part IV Escrow and Custodial Arrangements.
Part V Endowment Funds.
Part VI Land, Buildings, and Equipment.
Smithsonian Institution 53-0206027
X XXX
X
1,074,356,857. 971,279,043. 990,868,000. 883,509,000. 906,268,000.34,861,990. 34,505,912. 23,507,002. 56,665,000. 26,942,000.139,875,394. 121,707,182. 6,268,193. 101,203,000. -405,000.
55,408,994. 51,207,144. 47,426,653. 49,782,000. 48,536,000.2,590,934. 1,928,136. 1,937,499. 727,000. 760,000.
1,191,094,313. 1,074,356,857. 971,279,043. 990,868,000. 883,509,000.
49.6028.10
22.30
XX
12,582,149. 12,582,149.2,609,511,104. 1,379,543,725. 1,229,967,379.118,560,449. 51,184,645. 67,375,804.293,924,723. 215,782,023. 78,142,700.498,177,645. 498,177,645.
1,886,245,677.
(including name of security)
23205312-10-12
Total.
Total.
(a) (b) (c)
(a) (b) (c)
(a) (b)
Total.
(a) (b) 1.
Total.
2.
Schedule D (Form 990) 2012
(Column (b) must equal Form 990, Part X, col. (B) line 15.)
(Column (b) must equal Form 990, Part X, col. (B) line 25.)
Description of security or category
(Col. (b) must equal Form 990, Part X, col. (B) line 12.) |
(Col. (b) must equal Form 990, Part X, col. (B) line 13.) |
Schedule D (Form 990) 2012 Page
See Form 990, Part X, line 12.
Book value Method of valuation: Cost or end-of-year market value
(1)
(2)
(3)
Financial derivatives
Closely-held equity interests
Other
~~~~~~~~~~~~~~~
~~~~~~~~~~~
(A)
(B)
(C)
(D)
(E)
(F)
(G)
(H)
(I)
Description of investment typeSee Form 990, Part X, line 13.
Book value Method of valuation: Cost or end-of-year market value
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
See Form 990, Part X, line 15.
Description Book value
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
���������������������������� |
See Form 990, Part X, line 25.
Description of liability Book value
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
Federal income taxes
����� |
FIN 48 (ASC 740) Footnote. In Part XIII, provide the text of the footnote to the organization's financial statements that reports the organization's
liability for uncertain tax positions under FIN 48 (ASC 740). Check here if the text of the footnote has been provided in Part XIII ������
3Part VII Investments - Other Securities.
Part VIII Investments - Program Related.
Part IX Other Assets.
Part X Other Liabilities.
Smithsonian Institution 53-0206027
Global & emerging markets 344,675,393. End-of-Year Market ValueHedge funds 342,885,567. End-of-Year Market ValuePrivate equity & venture capital 129,574,337. End-of-Year Market ValueNatural Resources and Real Estate 109,074,741. End-of-Year Market Value
926,210,038.
Environmental remediation obligation (FASB) ASC410-20 69,150,000.
69,150,000.
X
23205412-10-12
1
2
3
4
5
1
a
b
c
d
e
2a
2b
2c
2d
2a 2d 2e
32e 1
1
a
b
c
4a
4b
4a 4b
3 4c.
4c
5
1
2
3
4
5
1
a
b
c
d
e
2a
2b
2c
2d
2a 2d
2e 1
2e
3
1
a
b
c
4a
4b
4a 4b
3 4c.
4c
5
Schedule D (Form 990) 2012
(This must equal Form 990, Part I, line 12.)
(This must equal Form 990, Part I, line 18.)
Schedule D (Form 990) 2012 Page
Total revenue, gains, and other support per audited financial statements
Amounts included on line 1 but not on Form 990, Part VIII, line 12:
~~~~~~~~~~~~~~~~~~~
Net unrealized gains on investments
Donated services and use of facilities
Recoveries of prior year grants
Other (Describe in Part XIII.)
~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~
Add lines through ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Subtract line from line ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Amounts included on Form 990, Part VIII, line 12, but not on line :
Investment expenses not included on Form 990, Part VIII, line 7b
Other (Describe in Part XIII.)
~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~
Add lines and
Total revenue. Add lines and
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
�����������������
Total expenses and losses per audited financial statements
Amounts included on line 1 but not on Form 990, Part IX, line 25:
~~~~~~~~~~~~~~~~~~~~~~~~~~
Donated services and use of facilities
Prior year adjustments
Other losses
Other (Describe in Part XIII.)
~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~
Add lines through
Subtract line from line
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Amounts included on Form 990, Part IX, line 25, but not on line :
Investment expenses not included on Form 990, Part VIII, line 7b
Other (Describe in Part XIII.)
~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~
Add lines and
Total expenses. Add lines and
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
����������������
Complete this part to provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part IV, lines 1b and 2b; Part V, line 4; Part
X, line 2; Part XI, lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provide any additional information.
4Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return
Part XII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return
Part XIII Supplemental Information
Smithsonian Institution 53-0206027
1,498,193,703.
54,970,569.12,173,790.
36,730,315.103,874,674.
1,394,319,029.
1,988,098.-24,720,096.
-22,731,998.1,371,587,031.
1,296,069,690.
12,173,790.
123,554,133.135,727,923.
1,160,341,767.
1,988,098.
1,988,098.1,162,329,865.
Part III, line 1a: In conformity with the practice generally followed by
museums, no value is assigned to the collections in the statement of
financial position. Purchases of collection items are recognized as
reductions in unrestricted net assets in the period of acquisition.
Proceeds from deaccessions or insurance recoveries for lost or destroyed
collection items are recognized as increases in the approriate net asset
class and are generally designated for future collection acquisitions.
23205512-10-12
5
Schedule D (Form 990) 2012
(continued)Schedule D (Form 990) 2012 Page Part XIII Supplemental Information
Smithsonian Institution 53-0206027
Part III, line 4: The acquisition, preservation, management, and study
of collections are fundamental to the Smithsonian's mission to increase
and diffuse knowledge and have been the foundation upon which its
reputation rests. Smithsonian collections are a national and global
resource accessed each year by millions of visitors and researchers who
use traditional methods and cutting-edge technologies to explore subjects
from aeronautics to zoology. Through its collections, the Smithsonian
presents the astonishing record of American and international artistic,
historical, cultural, and scientific achievement, with a scope and depth
no other institution in the world can match.
Assembled over more than 160 years, the collections are central to the
core activities and to the vitality and significance of the Smithsonian.
Smithsonian collections contribute to population recovery of endangered
species, advances in reproductive biology, genome resource banking,
medical research, forensic analysis, bio-security, and conservation policy
worldwide.
Part V, line 4: The Endowment includes approximately 500 individual
endowment funds. The Endowment provides stable financial support for
scholarship, research activities, other programs, acquisitions for
collections and other Institutional activities. It plays a critical role
in enabling the Institution to achieve its mission - "the increase and
diffusion of knowledge". The Endowment includes both Donor-restricted
endowment funds and funds designated by the Board of Regents to function
as endowments and are consistent with the Institution's mission.
Classification and reporting of net assets associated with the Endowment
reflect Donor-imposed restrictions.
23205512-10-12
5
Schedule D (Form 990) 2012
(continued)Schedule D (Form 990) 2012 Page Part XIII Supplemental Information
Smithsonian Institution 53-0206027
Part X, Line 2: The Smithsonian recognizes the effect of income tax
positions only if those positions are more likely than not of being
sustained. The Smithsonian does not believe its financial statements
include any uncertain tax positions.
Part XI, Line 2d - Other Adjustments:
Deferred gain on building 3,908,586.
Change in FONZ net assets 2,186,172.
Change in minority interest - SI Networks 2,951,520.
Imputed Benefit Revenue 29,684,037.
Refund of contribution -2,000,000.
Total to Schedule D, Part XI, Line 2d 36,730,315.
Part XI, Line 4b - Other Adjustments:
Direct expenses - fundraising -1,413,242.
Direct expenses - cost of goods sold -23,306,854.
Total to Schedule D, Part XI, Line 4b -24,720,096.
Part XII, Line 2d - Other Adjustments:
Direct expenses - fundraising 1,413,242.
Direct expenses - cost of goods sold 23,306,854.
Imputed benefit costs 29,684,037.
Environmental remediation obligation FASB ASC 410-20 69,150,000.
Total to Schedule D, Part XII, Line 2d 123,554,133.
OMB No. 1545-0047
Department of the TreasuryInternal Revenue Service
23207112-10-12
| Complete if the organization answered "Yes" to Form 990,Part IV, line 14b, 15, or 16.
Open to Public Inspection
| Attach to Form 990. | See separate instructions.
Employer identification number
1
2
3
For grantmakers.
Yes No
For grantmakers.
(a) (b) (c) (d) (e) (f)
3 a
b
c Totals
For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule F (Form 990) 2012
Name of the organization
Complete if the organization answered "Yes"
to Form 990, Part IV, line 14b.
Does the organization maintain records to substantiate the amount of its grants and other assistance,
the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? ~~
Describe in Part V the organization's procedures for monitoring the use of its grants and other assistance outside the
United States.
Activities per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.)
Region Number ofoffices
in the region
Number ofemployees,agents, andindependentcontractors
in region
Activities conducted in region(by type) (e.g., fundraising, program
services, investments, grants torecipients located in the region)
If activity listed in (d)is a program service,describe specific typeof service(s) in region
Totalexpenditures
for andinvestments
in region
Sub-total ~~~~~~
Total from continuation
sheets to Part I ~~~
(add lines 3a
and 3b) ������
LHA
(Form 990)
Part I General Information on Activities Outside the United States.
SCHEDULE F Statement of Activities Outside the United States 2012
Smithsonian Institution 53-0206027
X
Academic appointmentCentral America and stipends to recipientsthe Caribbean 0 0 located in the region 1,290,815.
Central America and Research facilitiesthe Caribbean 7 577 Program services research & conferences 24,457,099.
Academic appointmentstipends to recipients
East Asia & Pacific 0 0 located in the region 774,920.
Academic appointmentstipends to recipients
Europe 0 0 located in the region 2,086,326.
Academic appointmentMiddle East & North stipends to recipientsAfrica 0 0 located in the region 108,285.
Academic appointmentstipends to recipients
North America 0 0 located in the region 182,540.
Academic appointmentRussia & Newly stipends to recipientsIndependent States 0 0 located in the region 140,544.
Academic appointmentstipends to recipients
South America 0 0 located in the region 401,173.7 577 29,441,702.
0 0 664,266,263.
7 577 693,707,965.
23218105-01-12
(a) (b) (c) (d) (e) (f)
Totals
Schedule F (Form 990) Page 1 (Schedule F (Form 990), Part I, line 3)
Region Number ofoffices
in the region
Number ofemployees or
agents inregion
Activities conducted in region(by type) (i.e., fundraising,
program services, grants torecipients located in the region)
If activity listed in (d)is a program service,describe specific typeof service(s) in region
Totalexpenditures
for region
��������� |
Part I Continuation of Activities per Region.
Smithsonian Institution 53-0206027
Academic appointmentstipends to recipients
South Asia 0 0 located in the region 84,652.
Academic appointmentstipends to recipients
Sub-Saharan Africa 0 0 located in the region 13,764.
Europe 0 0 Program Services Research/conferences 1,525,771.
Sub-Saharan Africa 0 0 Program Services Research/conferences 526,128.
South America 0 0 Program Services Research/conferences 618,026.
East Asia & Pacific 0 0 Program Services Research/conferences 1,196,811.
Middle East & NorthAfrica 0 0 Program Services Research/conferences 89,576.
North America 0 0 Program Services Research/conferences 385,811.
Russia & NewlyIndependent States 0 0 Program Services Research/conferences 71,590.
South Asia 0 0 Program Services Research/conferences 88,160.
23218105-01-12
(a) (b) (c) (d) (e) (f)
Totals
Schedule F (Form 990) Page 1 (Schedule F (Form 990), Part I, line 3)
Region Number ofoffices
in the region
Number ofemployees or
agents inregion
Activities conducted in region(by type) (i.e., fundraising,
program services, grants torecipients located in the region)
If activity listed in (d)is a program service,describe specific typeof service(s) in region
Totalexpenditures
for region
��������� |
Part I Continuation of Activities per Region.
Smithsonian Institution 53-0206027
Central America andthe Caribbean 0 0 Investments 547,360,291.
Europe (IncludingIceland & Greenland) 0 0 Investments 107,631,306.
North America 0 0 Investments 1,106,890.
Sub-Saharan Africa 0 0 Investments 3,567,487.
664,266,263.
23
20
72
12
-10
-12
2
Pa
rt I
IG
ran
ts a
nd
Oth
er
Assis
tan
ce
to
Org
an
iza
tio
ns o
r E
nti
tie
s O
uts
ide
th
e U
nit
ed
Sta
tes.
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
1 2 3
Sc
he
du
le F
(F
orm
99
0)
20
12
IRS
cod
e se
ctio
n
and
EIN
(if
appl
icab
le)
Sch
ed
ule
F (F
orm
99
0) 2
01
2P
ag
e
Co
mp
lete
if t
he o
rgan
izatio
n a
nsw
ere
d "
Yes"
to
Fo
rm 9
90
, P
art
IV
, lin
e 1
5, fo
r an
y
recip
ien
t w
ho
receiv
ed
mo
re t
han
$5
,00
0. P
art
II can
be d
up
licate
d if
ad
ditio
nal s
pace is
need
ed
.
Nam
e o
f o
rgan
izatio
nR
eg
ion
Pu
rpo
se o
f
gra
nt
Am
ou
nt
of
cash
gra
nt
Man
ner
of
cash
dis
bu
rsem
en
t
Am
ou
nt
of
no
n-c
ash
ass
ista
nce
Desc
rip
tio
no
f n
on
-cash
ass
ista
nce
Meth
od
of
valu
atio
n (b
oo
k, F
MV
,ap
pra
isal,
oth
er)
En
ter
tota
l nu
mb
er
of
recip
ien
t o
rgan
izatio
ns
liste
d a
bo
ve t
hat
are
reco
gn
ized
as
ch
arities
by
the f
ore
ign
co
un
try,
reco
gn
ized
as
tax-
exe
mp
t b
y
the IR
S, o
r fo
r w
hic
h t
he g
ran
tee o
r co
un
sel h
as
pro
vid
ed
a s
ectio
n 5
01
(c)(3
) eq
uiv
ale
ncy
lett
er
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~|
En
ter
tota
l nu
mb
er
of
oth
er
org
an
izatio
ns
or
en
tities
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�|
Smithsonian Institution
53-0206027
Academic appointment
North America
stipend
919.EFT
0.
Academic appointment
South Asia
stipend
15,000.EFT
0.
2 0
23
20
73
12
-10
-12
3
Pa
rt I
IIG
ran
ts a
nd
Oth
er
Assis
tan
ce
to
In
div
idu
als
Ou
tsid
e t
he
Un
ite
d S
tate
s.
(c)
(d)
(e)
(f)
(g)
(h)
(a)
(b)
Sc
he
du
le F
(F
orm
99
0)
20
12
Sch
ed
ule
F (F
orm
99
0) 2
01
2P
ag
e
Co
mp
lete
if t
he o
rgan
izatio
n a
nsw
ere
d "
Yes"
to
Fo
rm 9
90
, P
art
IV
, lin
e 1
6.
Part
III c
an
be d
up
licate
d if
ad
ditio
nal s
pace is
need
ed
.
Nu
mb
er
of
recip
ien
tsA
mo
un
t o
fcash
gra
nt
Man
ner
of
cash
dis
bu
rsem
en
tA
mo
un
t o
fn
on
-cash
ass
ista
nce
Desc
rip
tio
n o
fn
on
-cash
ass
ista
nce
Meth
od
of
valu
atio
n(b
oo
k, F
MV
,ap
pra
isal,
oth
er)
Typ
e o
f g
ran
t o
r ass
ista
nce
Reg
ion
Smithsonian Institution
53-0206027
Central America
Academic Appointment Stipends
and the Caribbean
148
1,290,815.Direct Deposits & Checks
0.
East Asia and the
Academic Appointment Stipends
Pacific
42774,920.Direct Deposits & Checks
0.
Academic Appointment Stipends
Europe
106
2,086,326.Direct Deposits & Checks
0.
Middle East and
Academic Appointment Stipends
North Africa
5108,285.Direct Deposits & Checks
0.
Academic Appointment Stipends
North America
20181,621.Direct Deposits & Checks
0.
Russia and the
Newly Independent
Academic Appointment Stipends
States
7140,544.Direct Deposits & Checks
0.
Academic Appointment Stipends
South America
40401,173.Direct Deposits & Checks
0.
Academic Appointment Stipends
South Asia
769,652.Direct Deposits & Checks
0.
Sub-Saharan
Academic Appointment Stipends
Africa
513,764.Direct Deposits & Checks
0.
23207412-10-12
4
1
2
3
4
5
6
Schedule F (Form 990) 2012
If "Yes," theorganization may be required to file Form 926, Return by a U.S. Transferor of Property to a ForeignCorporation (see Instructions for Form 926)
If "Yes," the organizationmay be required to file Form 3520, Annual Return to Report Transactions with Foreign Trusts andReceipt of Certain Foreign Gifts, and/or Form 3520-A, Annual Information Return of Foreign Trust Witha U.S. Owner (see Instructions for Forms 3520 and 3520-A)
If "Yes,"the organization may be required to file Form 5471, Information Return of U.S. Persons With Respect ToCertain Foreign Corporations. (see Instructions for Form 5471)
If "Yes," the organization may be required to file Form 8621,Information Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund.(see Instructions for Form 8621)
If "Yes,"the organization may be required to file Form 8865, Return of U.S. Persons With Respect To CertainForeign Partnerships. (see Instructions for Form 8865)
If"Yes," the organization may be required to file Form 5713, International Boycott Report. (see Instructionsfor Form 5713)
Schedule F (Form 990) 2012 Page
Was the organization a U.S. transferor of property to a foreign corporation during the tax year?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No
Did the organization have an interest in a foreign trust during the tax year?
[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[[ Yes No
Did the organization have an ownership interest in a foreign corporation during the tax year?
~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No
Was the organization a direct or indirect shareholder of a passive foreign investment company or a
qualified electing fund during the tax year?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No
Did the organization have an ownership interest in a foreign partnership during the tax year?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No
Did the organization have any operations in or related to any boycotting countries during the tax year?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No
Part IV Foreign Forms
Smithsonian Institution 53-0206027
X
X
X
X
X
X
232075 12-10-12
5
Schedule F (Form 990) 2012
Schedule F (Form 990) 2012 Page
Complete this part to provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (f) (accounting method;
amounts of investments vs. expenditures per region); Part II, line 1 (accounting method); Part III (accounting method); and Part III, column
(c) (estimated number of recipients), as applicable. Also complete this part to provide any additional information.
Part V Supplemental Information
Smithsonian Institution 53-0206027
Schedule F, Part I, Line 2: The Office of Fellowships has central
management and administrative responsibility for the Smithsonian programs
of research fellowships and other academic appointments for
undergraduate, graduate students, postdoctoral and senior scholars. The
Smithsonian Institution Fellowship Program is a competitive fellowship
program for graduate and postdoctoral fellows, who apply to conduct
research at the Institution with research staff serving as advisors. The
review process is made up of disciplinary committees comprised of the
Institution's staff who evaluate the candidates and then select the
fellows. There are other competitive and non-competitive fellowship,
visiting scholar and student appointees selected through the Smithsonian
units that go through a variety of other selection processes before an
award is made. An official letter /agreement is provided to each award
recipient identifying the award title, dates of tenure, stipend
allowances, and required responsibilities for holding this position. All
recipients either will identify a financial institution for receipt of
their monetary award or they will receive US Treasury checks. Depending
on the tenure of the appointment, payments can range from one lump sum,
biweekly payments or monthly payments. Most fellowship appointments are
awarded for one to two years. On occasion, we have visiting scholars or
fellows who are conducting research in another country. Payments are
usually submitted as stated above, however, on occasion, there may be one
or two who request that their payments be sent to the country of their
research. At the end of tenure, a final report of their research
accomplishments is provided for our records. Smithsonian research staff
who serve as advisors to these fellows, students and scholars are usually
in the field during their tenure. The eight Smithsonian research centers
232075 12-10-12
5
Schedule F (Form 990) 2012
Schedule F (Form 990) 2012 Page
Complete this part to provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (f) (accounting method;
amounts of investments vs. expenditures per region); Part II, line 1 (accounting method); Part III (accounting method); and Part III, column
(c) (estimated number of recipients), as applicable. Also complete this part to provide any additional information.
Part V Supplemental Information
Smithsonian Institution 53-0206027
located in the United States and one located in Panama monitor the
progress of their fellows especially those fellows in other countries,
and the administrative management of funds is managed through the
Institution's central administration for accountability.
Program services for research and conferences are for travel related
expenditures. Only travel essential to the performance of official SI
business, whether by SI employees, research associates, or invitational
travelers (i.e., individuals who are not SI employees), and for which
travel-related expenses are to be paid by the Smithsonian, can be
approved, authorized, and reimbursed.
Investments in regions include investments in foreign partnerships and
foreign corporations. The foreign region is determined by the country
whose laws govern the investment entity. The value reported represents
the fair market value of the investment at the end of the fiscal year.
Per From 990 instructions, stipends are reported on Schedule F if the
person receiving the stipend is living or residing outside the United
States at the time the stipend is paid or distributed. However, many of
these stipend recipients later traveled to the Smithsonian in the United
States to perform their research.
OMB No. 1545-0047
Department of the TreasuryInternal Revenue Service
Didfundraiser
have custodyor control of
contributions?
23208101-07-13
Schedule G (Form 990 or 990-EZ) 2012
(Form 990 or 990-EZ)
Open To PublicInspection
Complete if the organization answered "Yes" to Form 990, Part IV, lines 17, 18, or 19,or if the organization entered more than $15,000 on Form 990-EZ, line 6a.
| Attach to Form 990 or Form 990-EZ. | See separate instructions.Employer identification number
1
a
b
c
d
a
b
e
f
g
2
Yes No
(i) (ii)
(iii) (iv)
(v)
(i)
(vi)
Yes No
Total
3
Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Name of the organization
Complete if the organization answered "Yes" to Form 990, Part IV, line 17. Form 990-EZ filers are notrequired to complete this part.
Indicate whether the organization raised funds through any of the following activities. Check all that apply.
Mail solicitations
Internet and email solicitations
Phone solicitations
In-person solicitations
Solicitation of non-government grants
Solicitation of government grants
Special fundraising events
Did the organization have a written or oral agreement with any individual (including officers, directors, trustees or
key employees listed in Form 990, Part VII) or entity in connection with professional fundraising services?
If "Yes," list the ten highest paid individuals or entities (fundraisers) pursuant to agreements under which the fundraiser is to be
compensated at least $5,000 by the organization.
Name and address of individualor entity (fundraiser)
ActivityGross receipts
from activity
Amount paidto (or retained by)
fundraiserlisted in col.
Amount paidto (or retained by)
organization
�������������������������������������� |
List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exempt from registrationor licensing.
LHA
SCHEDULE G
Fundraising Activities. Part I
Supplemental Information RegardingFundraising or Gaming Activities 2012
Smithsonian Institution 53-0206027
X XX XX XX
X
Odell, Simms & Associates - Direct Mail-Acquisition1593 Spring Hill Rd, Tysons Program/Membership X 0. 3,258,653. -3,258,653.Epsilon Data - 1300 N 17th Direct Mail Advisory &St, Arlington, VA 22209 Assistance X 0. 939,645. -939,645.Marts & Lundy - 1200 Wall StW, Lyndhurst, NJ 07071-3680 Campaign Consultant X 0. 661,268. -661,268.Avalon Consulting Group - Telemarketing, Direct2030 M St, NW, Washington, DC Mail, Online & Consulting X 0. 605,044. -605,044.SCA Direct, Inc - 11200Waples Mill Rd, Fairfax, VA Consulting Services X 0. 543,752. -543,752.M & R Strategic Services -1901 L St NW , Washington, DC Online Advisory X 0. 207,731. -207,731.Donor Services Group - 11500 Telemarketing CallingOlympic Blvd, Los Angeles, CA Services X 0. 199,694. -199,694.Steege/Thomson Communications- 4606 Spruce St, Campaign Communications X 0. 173,179. -173,179.Community Counselling Service Capital CampaignCo. - 461 5th Ave, New York, Management Services X 0. 162,500. -162,500.Elizabeth Perry - 232 7th StNE, Washington, DC Fundraising Consultant X 0. 99,000. -99,000.
6,850,466. -6,850,466.
See Part IV for continuations
232082 01-07-13
2
(d)
(a)
(c)
(a) (b) (c)
1
2
3
4
5
6
7
8
9
10
11
(a) (b)
(c) (d)
(a) (c)
1
2
3
4
5
6
7
8
Yes Yes Yes
No No No
9
10
a
b
Yes No
a
b
Yes No
Schedule G (Form 990 or 990-EZ) 2012
Pull tabs/instantbingo/progressive bingo
Schedule G (Form 990 or 990-EZ) 2012 Page Complete if the organization answered "Yes" to Form 990, Part IV, line 18, or reported more than $15,000
of fundraising event contributions and gross income on Form 990-EZ, lines 1 and 6b. List events with gross receipts greater than $5,000.
Total events
(add col. through
col. )
Reve
nu
e
Event #1 Event #2 Other events
(event type) (event type) (total number)
Gross receipts
Less: Contributions
~~~~~~~~~~~~~~
~~~~~~~~~~~
Gross income (line 1 minus line 2)
Direct
Exp
en
ses
����
Cash prizes
Noncash prizes
~~~~~~~~~~~~~~~
~~~~~~~~~~~~~
Rent/facility costs ~~~~~~~~~~~~
Food and beverages
Entertainment
~~~~~~~~~~
~~~~~~~~~~~~~~
Other direct expenses ~~~~~~~~~~
Direct expense summary. Add lines 4 through 9 in column (d)
Net income summary. Combine line 3, column (d), and line 10
~~~~~~~~~~~~~~~~~~~~~~~~ | ( )
������������������������� |Complete if the organization answered "Yes" to Form 990, Part IV, line 19, or reported more than
$15,000 on Form 990-EZ, line 6a.
Reve
nu
e Bingo Other gamingTotal gaming (add
col. through col. )
Direct
Exp
en
ses
Gross revenue ��������������
Cash prizes
Noncash prizes
~~~~~~~~~~~~~~~
~~~~~~~~~~~~~
Rent/facility costs
Other direct expenses
~~~~~~~~~~~~
����������
% % %
Volunteer labor ~~~~~~~~~~~~~
Direct expense summary. Add lines 2 through 5 in column (d)
Net gaming income summary. Combine line 1, column d, and line 7
~~~~~~~~~~~~~~~~~~~~~~~~ | ( )
��������������������� |
Enter the state(s) in which the organization operates gaming activities:
Is the organization licensed to operate gaming activities in each of these states?
If "No," explain:
~~~~~~~~~~~~~~~~~~~~
Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year?
If "Yes," explain:
~~~~~~~~~
Part II Fundraising Events.
Part III Gaming.
Smithsonian Institution 53-0206027
Freer Sackler 25thAnniversary Gala
National DesignAwards Gala 9
1,598,540. 1,003,045. 1,464,721. 4,066,306.
1,474,901. 886,647. 1,064,310. 3,425,858.
123,639. 116,398. 400,411. 640,448.
10,062. 5,925. 15,987.
173,507. 100,000. 107,827. 381,334.
972. 6,460. 8,595. 16,027.233,427. 104,590. 645,348. 983,365.
1,396,713.-756,265.
232083 01-07-13
3
11
12
13
14
15
Yes No
Yes No
a
b
13a
13b
Yes Noa
b
c
16
17
a
b
Yes No
Supplemental Information.
Schedule G (Form 990 or 990-EZ) 2012
Schedule G (Form 990 or 990-EZ) 2012 Page
Does the organization operate gaming activities with nonmembers?
Is the organization a grantor, beneficiary or trustee of a trust or a member of a partnership or other entity formed
to administer charitable gaming?
~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Indicate the percentage of gaming activity operated in:
The organization's facility
An outside facility
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ %
%~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Enter the name and address of the person who prepares the organization's gaming/special events books and records:
Name |
Address |
Does the organization have a contract with a third party from whom the organization receives gaming revenue?
If "Yes," enter the amount of gaming revenue received by the organization |
~~~~~~
$ and the amount
of gaming revenue retained by the third party | $ .
If "Yes," enter name and address of the third party:
Name |
Address |
Gaming manager information:
Name |
Gaming manager compensation |
Description of services provided |
$
Director/officer Employee Independent contractor
Mandatory distributions:
Is the organization required under state law to make charitable distributions from the gaming proceeds to
retain the state gaming license? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Enter the amount of distributions required under state law to be distributed to other exempt organizations or spent in the
organization's own exempt activities during the tax year | $
Complete this part to provide the explanations required by Part I, line 2b, columns (iii) and (v), and Part III,
lines 9, 9b, 10b, 15b, 15c, 16, and 17b, as applicable. Also complete this part to provide any additional information (see instructions).
Part IV
Smithsonian Institution 53-0206027
Schedule G, Part I, Line 2b, Column (v): As SI has multiple fundraisers,
some who work on the same campaign, it is not possible to accurately
report the exact amount of revenue associated with each fundraiser. None
of the fundraisers had control of any contributions; all were paid under
the terms of negotiated contracts.
Schedule G, Part I, Line 3: SI is a trust instrumentality of the U.S. and
as such is exempt from state regulations pursuant to the Supremacy Clause
of the U.S. Constitution. All states that have inquired about SIfundraising soliciation registration have acknowledged this exemption.
OM
B N
o.
15
45
-00
47
Dep
art
men
t o
f th
e T
reasu
ry
Inte
rnal R
even
ue S
erv
ice
23
21
01
12
-18
-12
Gra
nts
an
d O
the
r A
ssis
tan
ce
to
Org
an
iza
tio
ns,
Go
vern
me
nts
, a
nd
In
div
idu
als
in
th
e U
nit
ed
Sta
tes
SC
HE
DU
LE
I(F
orm
99
0)
Co
mp
lete
if
the
org
an
iza
tio
n a
nsw
ere
d "
Ye
s"
to F
orm
99
0, P
art
IV
, lin
e 2
1 o
r 2
2.
| A
tta
ch
to
Fo
rm 9
90
.
Op
en
to
Pu
blic
Insp
ec
tio
n
Em
plo
yer
ide
nti
fic
ati
on
nu
mb
er
Ge
ne
ral In
form
ati
on
on
Gra
nts
an
d A
ssis
tan
ce
Pa
rt I
1 2
Ye
sN
o
Pa
rt I
IG
ran
ts a
nd
Oth
er
Assis
tan
ce
to
Go
vern
me
nts
an
d O
rga
niz
ati
on
s in
th
e U
nit
ed
Sta
tes.
(f)
1 (
a)
(b)
(c)
(d)
(e)
(g)
(h)
2 3
Fo
r P
ap
erw
ork
Re
du
cti
on
Ac
t N
oti
ce
, se
e t
he
In
str
uc
tio
ns f
or
Fo
rm 9
90
.S
ch
ed
ule
I (
Fo
rm 9
90
) (2
01
2)
Nam
e o
f th
e o
rgan
izatio
n
Do
es
the o
rgan
izatio
n m
ain
tain
reco
rds
to s
ub
stan
tiate
th
e a
mo
un
t o
f th
e g
ran
ts o
r ass
ista
nce, th
e g
ran
tees'
elig
ibili
ty f
or
the g
ran
ts o
r ass
ista
nce, an
d t
he s
ele
ctio
n
crite
ria u
sed
to
aw
ard
th
e g
ran
ts o
r ass
ista
nce?
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
Desc
rib
e in
Part
IV
th
e o
rgan
izatio
n's
pro
ced
ure
s fo
r m
on
ito
rin
g t
he u
se o
f g
ran
t fu
nd
s in
th
e U
nited
Sta
tes.
Co
mp
lete
if t
he o
rgan
izatio
n a
nsw
ere
d "
Yes"
to
Fo
rm 9
90
, P
art
IV
, lin
e 2
1, fo
r an
y
recip
ien
t th
at
receiv
ed
mo
re t
han
$5
,00
0. P
art
II can
be d
up
licate
d if
ad
ditio
nal s
pace is
need
ed
.M
eth
od
of
valu
atio
n (b
oo
k,F
MV
, ap
pra
isal,
oth
er)
Nam
e a
nd
ad
dre
ss o
f o
rgan
izatio
no
r g
ove
rnm
en
tE
INIR
C s
ectio
nif
ap
plic
ab
leA
mo
un
t o
fcash
gra
nt
Am
ou
nt
of
no
n-c
ash
ass
ista
nce
Desc
rip
tio
n o
fn
on
-cash
ass
ista
nce
Pu
rpo
se o
f g
ran
to
r ass
ista
nce
En
ter
tota
l nu
mb
er
of
sectio
n 5
01
(c)(3
) an
d g
ove
rnm
en
t o
rgan
izatio
ns
liste
d in
th
e li
ne 1
tab
le
En
ter
tota
l nu
mb
er
of
oth
er
org
an
izatio
ns
liste
d in
th
e li
ne 1
tab
le
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
|
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
|
LH
A
2012
Smithsonian Institution
53-0206027
X
Cornell University
341 Pine Tree Road
Academic Appointment
Ithaca, NY 14850
15-0532082
501(c)(3)
71,183.
0.Stipend
President and Fellows of Harvard
College - 1033 Massachusetts Ave
Academic Appointment
- Cambridge, MA 02138
04-2103580
501(c)(3)
62,822.
0.Stipend
Northwestern University
633 Clark Street
Academic Appointment
Evanston, IL 60208
36-2167817
501(c)(3)
15,600.
0.Stipend
Regents of the University of
Michigan - 3014 Fleming - Ann
Academic Appointment
Arbor, MI 48109-1340
38-6006309
501(c)(3)
13,800.
0.Stipend
Regents of the University of
Minnesota - 200 Oak Street SE -
Academic Appointment
Minneapolis, MN 55455-2070
41-6007513
501(c)(3)
13,750.
0.Stipend
Pennsylvania State University
Academic Appointment
201 Old Main
Stipend
University Park, PA 16802
24-6000376
501(c)(3)
11,250.
0.9. 0.
23
22
41
05
-01
-12
Pa
rt I
IC
on
tin
ua
tio
n o
f G
ran
ts a
nd
Oth
er
Assis
tan
ce
to
Go
vern
me
nts
an
d O
rga
niz
ati
on
s in
th
e U
nit
ed
Sta
tes
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
Sc
he
du
le I
(F
orm
99
0)
Sch
ed
ule
I (F
orm
99
0)
Pag
e 1
(Sch
ed
ule
I (F
orm
99
0), P
art
II.)
Nam
e a
nd
ad
dre
ss o
f o
rgan
izatio
n o
r g
ove
rnm
en
t E
IN IR
C s
ectio
nif
ap
plic
ab
le A
mo
un
t o
f cash
gra
nt
Am
ou
nt
of
no
n-c
ash
ass
ista
nce
Meth
od
of
valu
atio
n
(bo
ok,
FM
V,
ap
pra
isal,
oth
er)
Desc
rip
tio
n o
fn
on
-cash
ass
ista
nce
Pu
rpo
se o
f g
ran
to
r ass
ista
nce
Smithsonian Institution
53-0206027
University of Maryland
2119 Main Administration Bldg
Academic Appointment
College Park, MD 20742-5035
52-6002033
501(c)(3)
13,098.
0.Stipend
University of Miami
PO Box 248106
Academic Appointment
Coral Gables, FL 33124-2912
59-0624458
501(c)(3)
2,020.
0.Stipend
University of Nebraska
1400 R Street
Academic Appointment
Lincoln, NE 68588
47-0049123
501(c)(3)
15,600.
0.Stipend
23
21
02
1
2-1
8-1
2
2P
art
III
Gra
nts
an
d O
the
r A
ssis
tan
ce
to
In
div
idu
als
in
th
e U
nit
ed
Sta
tes.
(e)
(a)
(b)
(c)
(d)
(f)
Pa
rt I
VS
up
ple
me
nta
l In
form
ati
on
.
Sc
he
du
le I
(F
orm
99
0)
(20
12
)
Sch
ed
ule
I (F
orm
99
0) (2
01
2)
Pag
e
Co
mp
lete
if t
he o
rgan
izatio
n a
nsw
ere
d "
Yes"
to
Fo
rm 9
90
, P
art
IV
, lin
e 2
2.
Part
III c
an
be d
up
licate
d if
ad
ditio
nal s
pace is
need
ed
.
Meth
od
of
valu
atio
n(b
oo
k, F
MV
, ap
pra
isal,
oth
er)
Typ
e o
f g
ran
t o
r ass
ista
nce
Nu
mb
er
of
recip
ien
tsA
mo
un
t o
fcash
gra
nt
Am
ou
nt
of
no
n-
cash
ass
ista
nce
Desc
rip
tio
n o
f n
on
-cash
ass
ista
nce
Co
mp
lete
th
is p
art
to
pro
vid
e t
he in
form
atio
n r
eq
uired
in P
art
I, lin
e 2
, P
art
III, co
lum
n (b
), a
nd
an
y o
ther
ad
ditio
nal i
nfo
rmatio
n.
Smithsonian Institution
53-0206027
Academic Appointment Stipends
1004
11,272,307.
0.
Schedule I, Part I, Line 2: The Office of Fellowships has central
management and administrative responsibility for the Smithsonian programs
of research fellowships and other academic appointments for undergraduate,
graduate students, postdoctoral and senior scholars. The Smithsonian
Institution Fellowship Program is a competitive fellowship program for
graduate and postdoctoral fellows, who apply to conduct research at the
Institution with research staff serving as advisors. The review process is
made up of disciplinary committees comprised of the Institution's research
staff who evaluate the candidates and then select the fellows. There are
23229105-01-12
2
Schedule I (Form 990)
Schedule I (Form 990) Page
Part IV Supplemental Information
Smithsonian Institution 53-0206027
other competitive and non-competitive fellowship, visiting scholar and
student appointees selected through the Smithsonian units that go through a
variety of other selections processes before an award is made. An official
letter/agreement is provided to each award recipient identifying the award
title, dates of tenure, stipend allowances, and required responsibilities
for holding this position. All recipients either will identify a financial
institution for receipt of their monetary award or they will receive US
Treasury checks. Depending on the tenure of the appointment, payments may
be made in a lump sum or in periodic payments. Most fellowship appointments
are awarded for one to two years. At the end of tenure, a final report of
their research accomplishments is provided for our records. Smithsonian
research staff who serve as advisors to these fellows, students and
scholars are usually in the field during their tenure. The individual
Smithsonian research centers monitor the progress of their fellows, and the
funds are managed through the Institution's central administration to
ensure accountability. Similiar processes are followed for awards made to
organizations whose academic staff perfoms the related research.
OMB No. 1545-0047
Department of the TreasuryInternal Revenue Service
23211112-10-12
For certain Officers, Directors, Trustees, Key Employees, and HighestCompensated Employees
Complete if the organization answered "Yes" to Form 990,Part IV, line 23. Open to Public
InspectionAttach to Form 990. See separate instructions.Employer identification number
Yes No
1a
b
1b
2
2
3
4
a
b
c
4a
4b
4c
Only section 501(c)(3) and 501(c)(4) organizations must complete lines 5-9.
5
5a
5b
6a
6b
7
8
9
a
b
6
a
b
7
8
9
For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule J (Form 990) 2012
|
| |Name of the organization
Check the appropriate box(es) if the organization provided any of the following to or for a person listed in Form 990,
Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
First-class or charter travel
Travel for companions
Housing allowance or residence for personal use
Payments for business use of personal residence
Tax indemnification and gross-up payments
Discretionary spending account
Health or social club dues or initiation fees
Personal services (e.g., maid, chauffeur, chef)
If any of the boxes on line 1a are checked, did the organization follow a written policy regarding payment or
reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain~~~~~~~~~~~
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all officers, directors,
trustees, and the CEO/Executive Director, regarding the items checked in line 1a? ~~~~~~~~~~~~~~~~~~~~~
Indicate which, if any, of the following the filing organization used to establish the compensation of the organization's
CEO/Executive Director. Check all that apply. Do not check any boxes for methods used by a related organization to
establish compensation of the CEO/Executive Director, but explain in Part III.
Compensation committee
Independent compensation consultant
Form 990 of other organizations
Written employment contract
Compensation survey or study
Approval by the board or compensation committee
During the year, did any person listed in Form 990, Part VII, Section A, line 1a, with respect to the filing
organization or a related organization:
Receive a severance payment or change-of-control payment?
Participate in, or receive payment from, a supplemental nonqualified retirement plan?
Participate in, or receive payment from, an equity-based compensation arrangement?
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any compensation
contingent on the revenues of:
The organization?
Any related organization?
If "Yes" to line 5a or 5b, describe in Part III.
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any compensation
contingent on the net earnings of:
The organization?
Any related organization?
If "Yes" to line 6a or 6b, describe in Part III.
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed payments
not described in lines 5 and 6? If "Yes," describe in Part III
Were any amounts reported in Form 990, Part VII, paid or accrued pursuant to a contract that was subject to the
initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe in Part III
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
~~~~~~~~~~~
If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in
Regulations section 53.4958-6(c)? ���������������������������������������������
LHA
SCHEDULE J(Form 990)
Part I Questions Regarding Compensation
Compensation Information
2012
Smithsonian Institution 53-0206027
XX
X
X
XX X
X
XXX
XX
XX
X
X
23
21
12
12
-12
-12
2
Pa
rt I
IO
ffic
ers
, D
ire
cto
rs, T
ruste
es, K
ey
Em
plo
yee
s, a
nd
Hig
he
st
Co
mp
en
sa
ted
Em
plo
yee
s.
No
te.
(B)
(C)
(D
)
(E)
(F
)
(i)
(ii)
(i
ii)
(A)
(i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii)
Sc
he
du
le J
(F
orm
99
0)
20
12
Sch
ed
ule
J (F
orm
99
0) 2
01
2P
ag
e
Use
du
plic
ate
co
pie
s if
ad
ditio
nal s
pace is
need
ed
.
Fo
r each
ind
ivid
ual w
ho
se c
om
pen
satio
n m
ust
be r
ep
ort
ed
in S
ch
ed
ule
J, re
po
rt c
om
pen
satio
n f
rom
th
e o
rgan
izatio
n o
n r
ow
(i)
an
d f
rom
rela
ted
org
an
izatio
ns,
desc
rib
ed
in t
he in
stru
ctio
ns,
on
ro
w (ii)
.D
o n
ot
list
an
y in
div
idu
als
th
at
are
no
t lis
ted
on
Fo
rm 9
90
, P
art
VII.
Th
e s
um
of
co
lum
ns
(B)(i)-
(iii)
for
each
list
ed
ind
ivid
ual m
ust
eq
ual t
he t
ota
l am
ou
nt
of
Fo
rm 9
90
, P
art
VII, S
ectio
n A
, lin
e 1
a, ap
plic
ab
le c
olu
mn
(D
) an
d (E
) am
ou
nts
fo
r th
at
ind
ivid
ual.
Bre
akd
ow
n o
f W
-2 a
nd
/or
10
99
-MIS
C c
om
pen
satio
nR
etire
men
t an
do
ther
defe
rred
co
mp
en
satio
n
No
nta
xab
leb
en
efit
sT
ota
l of
co
lum
ns
(B)(i)-
(D)
Co
mp
en
satio
nre
po
rted
as
defe
rred
in p
rio
r F
orm
99
0B
ase
co
mp
en
satio
nB
on
us
&in
cen
tive
co
mp
en
satio
n
Oth
er
rep
ort
ab
leco
mp
en
satio
n
Nam
e a
nd
Title
Smithsonian Institution
53-0206027
(1) G. Wayne Clough
502,579.
0.8,652.
37,160.
2,922.
551,313.
0.Secretary
0.0.
0.0.
0.0.
0.(2) Scott Dahl
168,952.
0.0.
8,201.
19,858.
197,011.
0.Inspector General
0.0.
0.0.
0.0.
0.(3) Albert Horvath
363,059.
0.883.
37,160.
16,171.
417,273.
0.Under Sec - Fin & Adm/CFO
0.0.
0.0.
0.0.
0.(4) John Lapiana
173,827.
4,000.
348.
24,451.
6,456.
209,082.
0.Chief of Staff-Regents
0.0.
0.0.
0.0.
0.(5) Judith Leonard
176,628.
0.1,037.
25,186.
6,553.
209,404.
0.General Counsel
0.0.
0.0.
0.0.
0.(6) Sudeep Anand
213,028.
0.2,668.
32,690.
29,034.
277,420.
0.Treasurer
0.0.
0.0.
0.0.
0.(7) Nancy Bechtol
207,589.
39,500.
161.
11,286.
9,855.
268,391.
0.Director - Facilities
0.0.
0.0.
0.0.
0.(8) Gregory Bokman
190,955.
66,516.
270.
28,601.
19,159.
305,501.
0.CFO - Smithsonian Enterprises
0.0.
0.0.
0.0.
0.(9) Claudine Brown
238,763.
0.1,554.
36,169.
10,610.
287,096.
0.Asst Sec - Education and Access
0.0.
0.0.
0.0.
0.(10) Deron Burba
176,018.
20,000.
238.
25,413.
14,166.
235,835.
0.Chief Information Officer
0.0.
0.0.
0.0.
0.(11) Amy Chen
249,026.
126,606.
1,032.
111,456.
1,473.
489,593.
49,606.
Chief Investment Officer
0.0.
0.0.
0.0.
0.(12) Virginia Clark
320,623.
4,000.
2,218.
37,160.
17,794.
381,795.
0.Director - Advancement & Giving
0.0.
0.0.
0.0.
0.(13) Bruce Dauer
241,204.
10,000.
3,018.
36,624.
7,161.
298,007.
0.Acting Dep U/S for Fin & Adm
0.0.
0.0.
0.0.
0.(14) James Douglas
214,500.
0.1,338.
31,633.
3,053.
250,524.
0.Dir - Office of Human Resources
0.0.
0.0.
0.0.
0.(15) Kenneth Johnson
164,736.
8,500.
0.8,237.
328.
181,801.
0.Acting Director - OPMB
0.0.
0.0.
0.0.
0.(16) Richard Kurin
287,140.
4,000.
1,893.
42,110.
15,473.
350,616.
0.Under Sec - History, Art & Culture
0.0.
0.0.
0.0.
0.
23
21
12
12
-12
-12
2
Pa
rt I
IO
ffic
ers
, D
ire
cto
rs, T
ruste
es, K
ey
Em
plo
yee
s, a
nd
Hig
he
st
Co
mp
en
sa
ted
Em
plo
yee
s.
No
te.
(B)
(C)
(D
)
(E)
(F
)
(i)
(ii)
(i
ii)
(A)
(i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii)
Sc
he
du
le J
(F
orm
99
0)
20
12
Sch
ed
ule
J (F
orm
99
0) 2
01
2P
ag
e
Use
du
plic
ate
co
pie
s if
ad
ditio
nal s
pace is
need
ed
.
Fo
r each
ind
ivid
ual w
ho
se c
om
pen
satio
n m
ust
be r
ep
ort
ed
in S
ch
ed
ule
J, re
po
rt c
om
pen
satio
n f
rom
th
e o
rgan
izatio
n o
n r
ow
(i)
an
d f
rom
rela
ted
org
an
izatio
ns,
desc
rib
ed
in t
he in
stru
ctio
ns,
on
ro
w (ii)
.D
o n
ot
list
an
y in
div
idu
als
th
at
are
no
t lis
ted
on
Fo
rm 9
90
, P
art
VII.
Th
e s
um
of
co
lum
ns
(B)(i)-
(iii)
for
each
list
ed
ind
ivid
ual m
ust
eq
ual t
he t
ota
l am
ou
nt
of
Fo
rm 9
90
, P
art
VII, S
ectio
n A
, lin
e 1
a, ap
plic
ab
le c
olu
mn
(D
) an
d (E
) am
ou
nts
fo
r th
at
ind
ivid
ual.
Bre
akd
ow
n o
f W
-2 a
nd
/or
10
99
-MIS
C c
om
pen
satio
nR
etire
men
t an
do
ther
defe
rred
co
mp
en
satio
n
No
nta
xab
leb
en
efit
sT
ota
l of
co
lum
ns
(B)(i)-
(D)
Co
mp
en
satio
nre
po
rted
as
defe
rred
in p
rio
r F
orm
99
0B
ase
co
mp
en
satio
nB
on
us
&in
cen
tive
co
mp
en
satio
n
Oth
er
rep
ort
ab
leco
mp
en
satio
n
Nam
e a
nd
Title
Smithsonian Institution
53-0206027
(17) Christopher Liedel(4/6/12-pres)
290,025.
0.0.
36,962.
17,057.
344,044.
0.President - Smithsonian Enterprises
0.0.
0.0.
0.0.
0.(18) Evelyn Lieberman
246,834.
0.3,018.
36,468.
979.
287,299.
0.Director - Comm & External Affairs
0.0.
0.0.
0.0.
0.(19) Era Marshall
159,415.
4,000.
0.0.
14,644.
178,059.
0.Dir-Equal Emplymt & Minority Affairs
0.0.
0.0.
0.0.
0.(20) Thomas Ott (10/1/11-4/5/12)
298,347.
100,000.
0.36,995.
13,782.
449,124.
0.President - Smithsonian Enterprises
0.0.
0.0.
0.0.
0.(21) Mary Payne
224,241.
0.919.
33,114.
6,584.
264,858.
0.Director - Office of Govt Relations
0.0.
0.0.
0.0.
0.(22) Eva Pell
316,809.
0.2,139.
37,160.
4,159.
360,267.
0.Under Secretary - Science
0.0.
0.0.
0.0.
0.(23) Andrew Zino
157,595.
5,000.
0.8,237.
16,252.
187,084.
0.Comptroller
0.0.
0.0.
0.0.
0.(24) Michael Caruso
285,282.
0.0.
37,160.
16,539.
338,981.
0.Editor in Chief-Smithsonian Magazine
0.0.
0.0.
0.0.
0.(25) Alan Chu
200,936.
83,809.
0.29,806.
17,056.
331,607.
0.SVP Media Group-Smithsonian Enterpri
0.0.
0.0.
0.0.
0.(26) John Dailey
279,443.
10,000.
5,735.
37,160.
1,063.
333,401.
0.Director - NASM
0.0.
0.0.
0.0.
0.(27) Richard Koshalek(10/12-6/29/13)
309,437.
0.6,600.
37,160.
16,722.
369,919.
0.Director - HMSG
0.0.
0.0.
0.0.
0.(28) Carol LeBlanc
233,834.
71,265.
0.34,610.
6,871.
346,580.
0.SVP - Smithsonian Enterprises
0.0.
0.0.
0.0.
0.(29) Charles R. Alcock
143,973.
6,514.
752.
19,186.
1,909.
172,334.
0.Former Acting Under Sec - Science
0.0.
0.0.
0.0.
0.(30) Alison McNally
187,248.
0.0.
0.6,574.
193,822.
0.Former Under Secretary-Finance
0.0.
0.0.
0.0.
0.(31) Scott Miller
158,328.
7,432.
0.8,237.
17,171.
191,168.
0.Former Acting Under Sec-Science
0.0.
0.0.
0.0.
0.(32) Michael Pickett
127,746.
1,718.
0.6,525.
2,689.
138,678.
0.Former Acting Inspector General
0.0.
0.0.
0.0.
0.
23
21
12
12
-12
-12
2
Pa
rt I
IO
ffic
ers
, D
ire
cto
rs, T
ruste
es, K
ey
Em
plo
yee
s, a
nd
Hig
he
st
Co
mp
en
sa
ted
Em
plo
yee
s.
No
te.
(B)
(C)
(D
)
(E)
(F
)
(i)
(ii)
(i
ii)
(A)
(i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii) (i)
(ii)
Sc
he
du
le J
(F
orm
99
0)
20
12
Sch
ed
ule
J (F
orm
99
0) 2
01
2P
ag
e
Use
du
plic
ate
co
pie
s if
ad
ditio
nal s
pace is
need
ed
.
Fo
r each
ind
ivid
ual w
ho
se c
om
pen
satio
n m
ust
be r
ep
ort
ed
in S
ch
ed
ule
J, re
po
rt c
om
pen
satio
n f
rom
th
e o
rgan
izatio
n o
n r
ow
(i)
an
d f
rom
rela
ted
org
an
izatio
ns,
desc
rib
ed
in t
he in
stru
ctio
ns,
on
ro
w (ii)
.D
o n
ot
list
an
y in
div
idu
als
th
at
are
no
t lis
ted
on
Fo
rm 9
90
, P
art
VII.
Th
e s
um
of
co
lum
ns
(B)(i)-
(iii)
for
each
list
ed
ind
ivid
ual m
ust
eq
ual t
he t
ota
l am
ou
nt
of
Fo
rm 9
90
, P
art
VII, S
ectio
n A
, lin
e 1
a, ap
plic
ab
le c
olu
mn
(D
) an
d (E
) am
ou
nts
fo
r th
at
ind
ivid
ual.
Bre
akd
ow
n o
f W
-2 a
nd
/or
10
99
-MIS
C c
om
pen
satio
nR
etire
men
t an
do
ther
defe
rred
co
mp
en
satio
n
No
nta
xab
leb
en
efit
sT
ota
l of
co
lum
ns
(B)(i)-
(D)
Co
mp
en
satio
nre
po
rted
as
defe
rred
in p
rio
r F
orm
99
0B
ase
co
mp
en
satio
nB
on
us
&in
cen
tive
co
mp
en
satio
n
Oth
er
rep
ort
ab
leco
mp
en
satio
n
Nam
e a
nd
Title
Smithsonian Institution
53-0206027
(33) Christian Samper
197,581.
0.305.
29,294.
10,921.
238,101.
0.Former Acting Secretary
0.0.
0.0.
0.0.
0.(34) Ira Rubinoff
101,099.
0.1,110.
7,837.
752.
110,798.
0.Former Acting Under Sec - Science
0.0.
0.0.
0.0.
0.(35) Marsha Shaines
161,070.
3,500.
0.0.
7,378.
171,948.
0.Former Acting General Counsel
0.0.
0.0.
0.0.
0.
23
21
13
12
-10
-12
3
Pa
rt I
IIS
up
ple
me
nta
l In
form
ati
on
Sc
he
du
le J
(F
orm
99
0)
20
12
Sch
ed
ule
J (F
orm
99
0) 2
01
2P
ag
e
Co
mp
lete
th
is p
art
to
pro
vid
e t
he in
form
atio
n, exp
lan
atio
n, o
r d
esc
rip
tio
ns
req
uired
fo
r P
art
I, lin
es
1a, 1
b, 3
, 4
a, 4
b, 4
c, 5
a, 5
b, 6
a, 6
b, 7
, an
d 8
, an
d f
or
Part
II. A
lso
co
mp
lete
th
is p
art
fo
r an
yad
ditio
nal i
nfo
rmatio
n.
Smithsonian Institution
53-0206027
Part I, Line 1a: First class travel:
Certain persons listed in Part VII, Section A were authorized for first
class travel when the circumstances of their travel met the requirements of
the Smithsonian's travel policy for such travel and first class travel was
approved in each instance by that individual's designated "approving
official" for travel. The Smithsonian's travel policy is guided by the
Federal Travel Regulations as supplemented by the Smithsonian's Travel
handbook.
Travel for companions:
Travel was authorized for the spouse of a person listed in Part VII,
Section A when the circumstances of that travel met the requirements of the
Smithsonian's policy for such travel. The Smithsonian's policy for payment
of spousal or dependent family member travel permits such payment only in
limited, exceptional cases, when there is a demonstrated bona fide business
purpose for the travel and the travel furthers the mission of the
Smithsonian, beyond mere attendance at an event or the performance of
incidental services. Such travel is authorized only if approved by the
Office of General Counsel and the Office of Under Secretary for Finance and
23
21
13
12
-10
-12
3
Pa
rt I
IIS
up
ple
me
nta
l In
form
ati
on
Sc
he
du
le J
(F
orm
99
0)
20
12
Sch
ed
ule
J (F
orm
99
0) 2
01
2P
ag
e
Co
mp
lete
th
is p
art
to
pro
vid
e t
he in
form
atio
n, exp
lan
atio
n, o
r d
esc
rip
tio
ns
req
uired
fo
r P
art
I, lin
es
1a, 1
b, 3
, 4
a, 4
b, 4
c, 5
a, 5
b, 6
a, 6
b, 7
, an
d 8
, an
d f
or
Part
II. A
lso
co
mp
lete
th
is p
art
fo
r an
yad
ditio
nal i
nfo
rmatio
n.
Smithsonian Institution
53-0206027
Administration/Chief Financial Officer in advance of travel. In the
calendar year 2012, one trip was approved for the wife of an officer, and
one trip was approved for the wife of a highly compensated employee. Each
trip was authorized consistent with policy. Because it was determined that
there was a bona fide business purpose for each trip, the cost of the trips
was not treated as taxable income.
Part I, Line 6: Certain employees of Smithsonian Enterprises (SE) are
eligible to participate in the Smithsonian Enterprises Management Incentive
Plan. This eligibility is determined on an annual basis. Even if eligible
to participate, a performance review rating of "Fully Successful" must be
received. The Plan includes both financial and individual (operational)
goals, and these goals must be met in order to receive an incentive
payment. There are different performance levels, with each successive
level giving a higher incentive payment. In addition, the eligible person
must be employed by the organization on the last day of the fiscal year in
order to receive payment. Approvals for incentive payments are tiered; any
payment to a senior executive is reviewed by the Secretary, with the
Regents (either the Compensation Committee or the Full Board) approving
23
21
13
12
-10
-12
3
Pa
rt I
IIS
up
ple
me
nta
l In
form
ati
on
Sc
he
du
le J
(F
orm
99
0)
20
12
Sch
ed
ule
J (F
orm
99
0) 2
01
2P
ag
e
Co
mp
lete
th
is p
art
to
pro
vid
e t
he in
form
atio
n, exp
lan
atio
n, o
r d
esc
rip
tio
ns
req
uired
fo
r P
art
I, lin
es
1a, 1
b, 3
, 4
a, 4
b, 4
c, 5
a, 5
b, 6
a, 6
b, 7
, an
d 8
, an
d f
or
Part
II. A
lso
co
mp
lete
th
is p
art
fo
r an
yad
ditio
nal i
nfo
rmatio
n.
Smithsonian Institution
53-0206027
incentive payments to any disqualified person, any direct report to the
Secretary, and any executive with total cash above an annually determined
threshold. The Regents have delegated to the Secretary the authority to
approve other executive incentive payments. For non-executives, the
President of SE approves those payments, except for payments above $10,000
which go to the Secretary for approval.
OM
B N
o.
15
45
-00
47
Dep
art
men
t o
f th
e T
reasu
ryIn
tern
al R
even
ue S
erv
ice
Do
es t
he o
rgan
izati
on
main
tain
ad
eq
uate
bo
oks a
nd
reco
rds t
o s
up
po
rt t
he f
inal allo
cati
on
of
pro
ceed
s?
23
21
21
12
-17
-12
SC
HE
DU
LE
K(F
orm
99
0)
| C
om
ple
te if
the
org
an
iza
tio
n a
nsw
ere
d "
Ye
s"
to F
orm
99
0, P
art
IV
, lin
e 2
4a
. P
rovi
de
de
sc
rip
tio
ns,
exp
lan
ati
on
s, a
nd
an
y a
dd
itio
na
l in
form
ati
on
in
Pa
rt V
I.O
pe
n t
o P
ub
lic
Insp
ec
tio
n|
Att
ac
h t
o F
orm
99
0.
|S
ee
se
pa
rate
in
str
uc
tio
ns.
Em
plo
yer
ide
nti
fic
ati
on
nu
mb
er
Pa
rt I
Bo
nd
Issu
es
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
Ye
sN
oY
es
No
Ye
sN
o
A B C D Pa
rt I
IP
roc
ee
ds
AB
CD
1 2 3 4 5 6 7 8 9
10
11
12
13
14
15
16
17
Ye
sN
oY
es
No
Ye
sN
oY
es
No
Pa
rt I
IIP
riva
te B
usin
ess U
se
1 2
AB
CD
Ye
sN
oY
es
No
Ye
sN
oY
es
No
Fo
r P
ap
erw
ork
Re
du
cti
on
Ac
t N
oti
ce
, se
e t
he
In
str
uc
tio
ns f
or
Fo
rm 9
90
.S
ch
ed
ule
K (
Fo
rm 9
90
) 2
01
2
Def
ease
d O
n be
half
of is
suer
Nam
e o
f th
e o
rgan
izatio
n
Issu
er
nam
eIs
suer
EIN
CU
SIP
#D
ate
issu
ed
Issu
e p
rice
Desc
rip
tio
n o
f p
urp
ose
Po
ole
dfin
an
cin
g
Am
ou
nt
of
bo
nd
s re
tire
d
Am
ou
nt
of
bo
nd
s le
gally
defe
ase
d
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
To
tal p
roceed
s o
f is
sue
Gro
ss p
roceed
s in
rese
rve f
un
ds
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
��
��
��
��
��
��
��
��
��
��
��
��
��
Cap
italiz
ed
inte
rest
fro
m p
roceed
s�
��
��
��
��
��
��
��
��
��
��
��
��
Pro
ceed
s in
refu
nd
ing
esc
row
s�
��
��
��
��
��
��
��
��
��
��
��
��
�
Issu
an
ce c
ost
s fr
om
pro
ceed
s
Cre
dit e
nh
an
cem
en
t fr
om
pro
ceed
s
Wo
rkin
g c
ap
ital e
xpen
ditu
res
fro
m p
roceed
s
��
��
��
��
��
��
��
��
��
��
��
��
��
�
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
Cap
ital e
xpen
ditu
res
fro
m p
roceed
s
Oth
er
spen
t p
roceed
s
Oth
er
un
spen
t p
roceed
s
Year
of
sub
stan
tial c
om
ple
tio
n
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
Were
th
e b
on
ds
issu
ed
as
part
of
a c
urr
en
t re
fun
din
g is
sue?
��
��
��
��
��
��
Were
th
e b
on
ds
issu
ed
as
part
of
an
ad
van
ce r
efu
nd
ing
issu
e?
Has
the f
inal a
llocatio
n o
f p
roceed
s b
een
mad
e?
��
��
��
��
��
�
��
��
��
��
��
��
��
��
��
��
��
Was
the o
rgan
izatio
n a
part
ner
in a
part
ners
hip
, o
r a m
em
ber
of
an
LL
C,
wh
ich
ow
ned
pro
pert
y fin
an
ced
by
tax-
exe
mp
t b
on
ds?
��
��
��
��
��
��
��
�
Are
th
ere
an
y le
ase
arr
an
gem
en
ts t
hat
may
resu
lt in
priva
te b
usi
ness
use
of
bo
nd
-fin
an
ced
pro
pert
y?�
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
LH
A
Su
pp
lem
en
tal In
form
ati
on
on
Ta
x-E
xe
mp
t B
on
ds
20
12
Smithsonian Institution
53-0206027
Fairfax County Economic Development
Authority
54-0787833
30382EC75
12/03/03
77,545,000.To construct a museum
XX
X
District of Columbia
52-1834528
254839756
04/26/10
30,500,000.Refunding of 1997 Bonds
XX
X
4,010,000.
77,545,000.
33,825,749.
33,212,755.
530,475.
592,621.
77,014,525.
20,373.
2003
2010
XX
XX
XX
XX
XX
XX
23
21
22
12
-17
-12
2
Pa
rt I
IIP
riva
te B
usin
ess U
se
AB
CD
3a b c d
Ye
sN
oY
es
No
Ye
sN
oY
es
No
4 5 6 7 8 9
a b c
Pa
rt I
VA
rbit
rag
e
AB
CD
Ye
sN
oY
es
No
Ye
sN
oY
es
No
1 2 3 4
a b c a b c d e
Sc
he
du
le K
(F
orm
99
0)
20
12
(Con
tinue
d)
Are
ther
e an
y re
sear
ch a
gree
men
ts th
at m
ay r
esul
t in
priv
ate
busi
ness
use
of b
ond-
finan
ced
prop
erty
?
Sch
ed
ule
K (F
orm
99
0) 2
01
2P
ag
e
Are
th
ere
an
y m
an
ag
em
en
t o
r se
rvic
e c
on
tracts
th
at
may
resu
lt in
priva
te
bu
sin
ess
use
of
bo
nd
-fin
an
ced
pro
pert
y?�
��
��
��
��
��
��
��
��
��
��
��
If "
Yes"
to
lin
e 3
a, d
oes
the o
rgan
izatio
n r
ou
tin
ely
en
gag
e b
on
d c
ou
nse
l or
oth
er
ou
tsid
e
co
un
sel t
o r
evi
ew
an
y m
an
ag
em
en
t o
r se
rvic
e c
on
tracts
rela
tin
g t
o t
he f
inan
ced
pro
pert
y?
If "
Yes"
to
lin
e 3
c, d
oes
the o
rgan
izatio
n r
ou
tin
ely
en
gag
e b
on
d c
ou
nse
l or
oth
er
ou
tsid
e
co
un
sel t
o r
evi
ew
an
y re
searc
h a
gre
em
en
ts r
ela
tin
g t
o t
he f
inan
ced
pro
pert
y?�
��
��
En
ter
the p
erc
en
tag
e o
f fin
an
ced
pro
pert
y u
sed
in a
priva
te b
usi
ness
use
by
en
tities
oth
er
than
a s
ectio
n 5
01
(c)(3
) o
rgan
izatio
n o
r a s
tate
or
local g
ove
rnm
en
t�
�|
%%
%%
En
ter
the p
erc
en
tag
e o
f fin
an
ced
pro
pert
y u
sed
in a
priva
te b
usi
ness
use
as
a r
esu
lt o
f
un
rela
ted
tra
de o
r b
usi
ness
activi
ty c
arr
ied
on
by
you
r o
rgan
izatio
n, an
oth
er
sectio
n 5
01
(c)(3
) o
rgan
izatio
n, o
r a s
tate
or
local g
ove
rnm
en
t�
��
��
��
��
��
�|
%%
%%
To
tal o
f lin
es
4 a
nd
5�
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
%%
%%
Do
es
the b
on
d is
sue m
eet
the p
riva
te s
ecu
rity
or
paym
en
t te
st?�
��
��
��
��
��
�
Has
there
been
a s
ale
or
dis
po
sitio
n o
f an
y o
f th
e b
on
d-fin
an
ced
pro
pert
y to
a n
on
-
go
vern
men
tal p
ers
on
oth
er
than
a 5
01
(c)(3
) o
rgan
izatio
n s
ince t
he b
on
ds
were
issu
ed
?
If "
Yes"
to
lin
e 8
a, en
ter
the p
erc
en
tag
e o
f b
on
d-fin
an
ced
pro
pert
y so
ld o
r d
isp
ose
d
of
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
%%
%%
If "
Yes"
to
lin
e 8
a, w
as
an
y re
med
ial a
ctio
n t
ake
n p
urs
uan
t to
Reg
ula
tio
ns
sectio
ns
1.1
41
-12
an
d 1
.14
5-2
?�
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
Has
the o
rgan
izatio
n e
stab
lish
ed
writt
en
pro
ced
ure
s to
en
sure
th
at
all
no
nq
ualif
ied
bo
nd
s o
f th
e is
sue a
re r
em
ed
iate
d in
acco
rdan
ce w
ith
th
e r
eq
uirem
en
ts u
nd
er
Reg
ula
tio
ns
sectio
ns
1.1
41
-12
an
d 1
.14
5-2
?�
��
��
��
��
��
��
��
��
��
��
Has
the is
suer
filed
Fo
rm 8
03
8-T
?
If "
No
" to
lin
e 1
, d
id t
he f
ollo
win
g a
pp
ly?
��
��
��
��
��
��
��
��
��
��
��
��
��
�
��
��
��
��
��
��
��
��
��
��
��
�
Reb
ate
no
t d
ue y
et?
Exc
ep
tio
n t
o r
eb
ate
?
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
No
reb
ate
du
e?�
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
If y
ou
ch
ecke
d "
No
reb
ate
du
e"
in li
ne 2
c, p
rovi
de in
Part
VI th
e d
ate
th
e r
eb
ate
co
mp
uta
tio
n w
as
perf
orm
ed
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
Is t
he b
on
d is
sue a
variab
le r
ate
issu
e?
��
��
��
��
��
��
��
��
��
��
��
��
Has
the o
rgan
izatio
n o
r th
e g
ove
rnm
en
tal i
ssu
er
en
tere
d in
to a
qu
alif
ied
hed
ge w
ith
resp
ect
to t
he b
on
d is
sue?
��
��
��
��
��
��
��
��
��
��
��
��
Nam
e o
f p
rovi
der�
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
Term
of
hed
ge
Was
the h
ed
ge s
up
erin
teg
rate
d?
Was
the h
ed
ge t
erm
inate
d?
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
Smithsonian Institution
53-0206027
XX
XX
.00
.00
.00
.00
.00
.00
XX
XX
XX
XX
XX
XX
XX
XX
XX
23
21
23
12
-17
-12
3
Pa
rt I
VA
rbit
rag
e
AB
CD
Ye
sN
oY
es
No
Ye
sN
oY
es
No
a b c d
5 6 7 Pa
rt V
Pro
ce
du
res T
o U
nd
ert
ak
e C
orr
ec
tive
Ac
tio
n
AB
CD
Ye
sN
oY
es
No
Ye
sN
oY
es
No
Pa
rt V
IS
up
ple
me
nta
l In
form
ati
on
.
Sc
he
du
le K
(F
orm
99
0)
20
12
(Con
tinue
d)S
ch
ed
ule
K (F
orm
99
0) 2
01
2P
ag
e
Were
gro
ss p
roceed
s in
vest
ed
in a
gu
ara
nte
ed
inve
stm
en
t co
ntr
act
(GIC
)?�
��
��
�
Nam
e o
f p
rovi
der
Term
of
GIC
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
Was
the r
eg
ula
tory
safe
harb
or
for
est
ab
lish
ing
th
e f
air m
ark
et
valu
e o
f th
e G
IC s
atisf
ied
?
Were
an
y g
ross
pro
ceed
s in
vest
ed
beyo
nd
an
ava
ilab
le t
em
po
rary
perio
d?
��
��
��
Has
the o
rgan
izatio
n e
stab
lish
ed
writt
en
pro
ced
ure
s to
mo
nito
r th
e r
eq
uirem
en
ts o
f
sectio
n 1
48
?�
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
Has
the o
rgan
izatio
n e
stab
lish
ed
writt
en
pro
ced
ure
s to
en
sure
th
at
vio
latio
ns
of
fed
era
l tax
req
uirem
en
ts a
re t
imely
iden
tifie
d a
nd
co
rrecte
d t
hro
ug
h t
he v
olu
nta
ry
clo
sin
g a
gre
em
en
t p
rog
ram
if s
elf-
rem
ed
iatio
n is
no
t ava
ilab
le u
nd
er
ap
plic
ab
le
reg
ula
tio
ns?
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
�
Co
mp
lete
th
is p
art
to
pro
vid
e a
dd
itio
nal i
nfo
rmatio
n f
or
resp
on
ses
to q
uest
ion
s o
n S
ch
ed
ule
K (se
e in
stru
ctio
ns)
.
Smithsonian Institution
53-0206027
XX
XX
XX
XX
OMB No. 1545-0047
Department of the TreasuryInternal Revenue Service
23214112-20-12
Complete if the organizations answered "Yes" on Form
990, Part IV, lines 29 or 30. Open to PublicInspectionAttach to Form 990.
Employer identification number
(a) (b) (c) (d)
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
29
Yes No
30
31
32
33
a
b
30a
31
32a
a
b
For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule M (Form 990) (2012)
Name of the organization
Check ifapplicable
Number ofcontributions or
items contributed
Noncash contributionamounts reported on
Form 990, Part VIII, line 1g
Method of determiningnoncash contribution amounts
Art - Works of art
Art - Historical treasures
Art - Fractional interests
~~~~~~~~~~~~~
~~~~~~~~~
~~~~~~~~~~
Books and publications
Clothing and household goods
~~~~~~~~~~
~~~~~~
Cars and other vehicles
Boats and planes
Intellectual property
~~~~~~~~~~
~~~~~~~~~~~~~
~~~~~~~~~~~
Securities - Publicly traded
Securities - Closely held stock
~~~~~~~~
~~~~~~~
Securities - Partnership, LLC, or
trust interests
Securities - Miscellaneous
~~~~~~~~~~~~~~
~~~~~~~~
Qualified conservation contribution -
Historic structures
Qualified conservation contribution - Other
~~~~~~~~~~~~
~
Real estate - Residential
Real estate - Commercial
Real estate - Other
~~~~~~~~~
~~~~~~~~~
~~~~~~~~~~~~
Collectibles
Food inventory
Drugs and medical supplies
Taxidermy
~~~~~~~~~~~~~~~~
~~~~~~~~~~~~~~
~~~~~~~~
~~~~~~~~~~~~~~~~
Historical artifacts
Scientific specimens
Archeological artifacts
~~~~~~~~~~~~
~~~~~~~~~~~
~~~~~~~~~~
Other ( )
Other ( )
Other ( )
Other ( )
Number of Forms 8283 received by the organization during the tax year for contributions
for which the organization completed Form 8283, Part IV, Donee Acknowledgement ~~~~
During the year, did the organization receive by contribution any property reported in Part I, lines 1-28 that it must hold for
at least three years from the date of the initial contribution, and which is not required to be used for exempt purposes for
the entire holding period? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
If "Yes," describe the arrangement in Part II.
Does the organization have a gift acceptance policy that requires the review of any non-standard contributions? ~~~~~~
Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash
contributions? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
If "Yes," describe in Part II.
If the organization did not report an amount in column (c) for a type of property for which column (a) is checked,
describe in Part II.
LHA
SCHEDULE M(Form 990)
Part I Types of Property
Noncash Contributions2012J
J
JJJJ
Smithsonian Institution 53-0206027
X 6,833
X 4
X 212 6,674,229. Fair Market Value
X 8,608
X 3,663X 108,750X 2,135
Equipment X 5 3,984,613. Fair Market ValueGoods X 67 958,797. Fair Market ValueArch cubic ft X 901 0.Archival misc X 588 0.
67
X
X
X
232142 12-20-12
2
Schedule M (Form 990) (2012)
Schedule M (Form 990) (2012) Page
Complete this part to provide the information required by Part I, lines 30b, 32b, and 33, and whetherthe organization is reporting in Part I, column (b), the number of contributions, the number of items received, or a combination of both.Also complete this part for any additional information.
Part II Supplemental Information.
Smithsonian Institution 53-0206027
Schedule M, Line 32b: Although the Smithsonian acquires collections
with good faith intention of retaining them for an indefinite period of
time, prudent collections management includes judicious consideration
of appropriate deaccessioning and disposal to refine and improve the
quality and relevance of the collections with respect to the
Smithsonian's mission and purpose. When objects are deaccessioned for
disposal by sale, the Smithsonian contracts with commercial galleries
or auction houses to sell the objects in order to assure the best
return from the sale.
Schedule M, Line 33: In accordance with professional practice, as
allowed by SFAS 116, the Smithsonian does not assign value to
collection items acquired by donation.
OMB No. 1545-0047
Department of the TreasuryInternal Revenue Service
23221101-04-13
(Form 990 or 990-EZ) Complete to provide information for responses to specific questions onForm 990 or 990-EZ or to provide any additional information.
| Attach to Form 990 or 990-EZ.Open to PublicInspection
Employer identification number
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Schedule O (Form 990 or 990-EZ) (2012)
Name of the organization
LHA
SCHEDULE O Supplemental Information to Form 990 or 990-EZ 2012
Smithsonian Institution 53-0206027
Form 990, Part III, Line 4a, Program Service Accomplishments:
Research and Collections - The Smithsonian collection of nearly 137
million objects (art, artifacts and scientific specimens) are the heart
of the Institution. Research, public programs and the exhibitions are
based on the collections. Care of collections involves the work of
registrars, conservators, museum specialists, designers, curators and
editors. About 126 million objects and specimens are part of the
natural history collections and primarily used for research purposes by
both Smithsonian scientists and researchers from around the world. In
some cases, the museum has the definitive, irreplaceable collection of
a certain species which is essential for comparative studies.
On August 15, the Smithsonian's National Museum of Natural History
announced the discovery of a new species of mammal: the olinguito. The
animal, native to the Andes Mountains, is the first carnivore discovery
on the continent in 35 years. In an effort to preserve and protect
endangered species, the Smithsonian Conservation Biology Institute in
Front Royal, Va., announced the birth of several endangered animals,
including a kiwi chick, a white-naped crane chick, clouded leopard
cubs, maned wolf pups and a Przewalski's Horse that was the first to be
born via artificial insemination.
As part of the Secretary's work to digitize the collection, the
Smithsonian began 3D scanning objects that will be available to
classrooms around the world. These objects can be studied on the
23221201-04-13
2
Employer identification number
Schedule O (Form 990 or 990-EZ) (2012)
Schedule O (Form 990 or 990-EZ) (2012) Page
Name of the organizationSmithsonian Institution 53-0206027
computer screen from all angles and manipulated to see up-close
details. The artifacts are also available for 3D printing.
Form 990, Part III, Line 4b, Program Service Accomplishments:
Education, Public Programs and Exhibitions - The Smithsonian opened
more than 90 new exhibitions this year and sent traveling shows around
the country. Among the significant exhibitions were: the National Air
and Space Museum's "Time and Navigation: The Untold Story of Getting
from Here to There," a study of the relationship between keeping
accurate time and arriving at the correct destination. "Genome:
Unlocking Life's Code" opened at the National Museum of Natural History
in June. The exhibit explores the future of genomics and explains how
DNA makes everyone unique.
The National Postal Museum opened the William H. Gross Stamp Gallery in
September with the only set of four original Inverted Jenny stamps, the
only envelope to be postmarked on the Moon and tens of thousands of
stamps in an interactive display. To commemorate the occasion, the U.S.
Postal Service reissued the Inverted Jenny and offered day-of-issue
cancellations for philatelists and visitors.
To commemorate the 150th anniversary of the Emancipation Proclamation
and the 50th anniversary of the March on Washington, the National
Museum of African American History and Culture opened "Changing
America: The Emancipation Proclamation, 1863, and the March on
Washington, 1963" at the National Museum of American History. Featured
artifacts include the silk top hat President Lincoln was wearing on the
night of his assassination, shards of glass from the 16th Street
23221201-04-13
2
Employer identification number
Schedule O (Form 990 or 990-EZ) (2012)
Schedule O (Form 990 or 990-EZ) (2012) Page
Name of the organizationSmithsonian Institution 53-0206027
Baptist Church bombing, and Harriet Tubman's lace handkerchief and
collar.
Form 990, Part III, Line 4c, Program Service Accomplishments:
Membership - The National Associate program is our largest and most
basic membership program. The program provides members with
"Smithsonian" magazine which is published 11 times a year.
"Smithsonian" magazine provides in-depth coverage of history, science,
nature, the arts, and world cultures. Smithsonian magazine hosts the
annual Ingenuity Awards every fall. The ceremony honors the best and
the brightest innovators who are electrifying the world. Events
sponsored by National Associates vary from year to year, but recently
included Museum Day, during which 1500 museums offer free admission.
Friends of Smithsonian is a higher level membership program for people
interested in a deeper philanthropic connection to Smithsonian.
Friends receive "Smithsonian" magazine, plus they are invited to
various events and are given the opportunity to learn about and support
through donations the Institution's exhibits and research.
The Smithsonian Associates provides educational and cultural programs
that highlight and complement the work of the Smithsonian Institution
through a variety of formats including performances, lectures, courses,
workshops and special events.
The Smithsonian Associates has become the nation's largest museum-based
continuing education program, offering nearly 750 educational and
23221201-04-13
2
Employer identification number
Schedule O (Form 990 or 990-EZ) (2012)
Schedule O (Form 990 or 990-EZ) (2012) Page
Name of the organizationSmithsonian Institution 53-0206027
cultural events. In FY 2013, The Smithsonian Associates hosted Supreme
Court Justice Antonin Scalia, Mad Men costume designer Janie Bryant and
Emerson String Quartet's final performance with cellist David Finckel.
The Smi also hosted a panel discussion on DC journalism with
representatives from the Washington Post, NPR, the New York Times, the
Chicago Tribune and Fox News.
Form 990, Part VI, Section A, line 2: Steve Case and Patricia Stonesifer
who are members of the Board serve as directors in the same business
entity.
Form 990, Part VI, Section A, line 7a: Pursuant to federal statute, the
Board of Regents consists of the Vice President of the United States, the
Chief Justice of the United States, three members of the U.S. Senate, three
members of the U.S. House of Representatives, and nine additional citizen
Regents. The three Senators are appointed by the President Pro Tempore of
the U.S. Senate, and the three members of the House of Representatives are
appointed by the Speaker of the House of Representatives. Their appointment
terms coincide with the terms for which they are elected, and they may be
reappointed if re-elected. The citizen Regents are nominated by the Board
of Regents, and appointed by a Joint Resolution of Congress which is signed
by the President of the United States.
Form 990, Part VI, Section B, line 11: The Form 990 return is prepared by
staff in the Office of Finance & Accounting (OF&A). It is then reviewed by
the Director of OF&A, General Counsel, Chief Financial Officer, an adviser
to the Board of Regent's Audit & Review Committee and the Secretary of the
Smithsonian, as well as by external tax advisors. After this review
23221201-04-13
2
Employer identification number
Schedule O (Form 990 or 990-EZ) (2012)
Schedule O (Form 990 or 990-EZ) (2012) Page
Name of the organizationSmithsonian Institution 53-0206027
process, the 990 is made available to the full Board for its review and
comment. The Audit & Review Committee conducts a final review of the
return at a regularly scheduled Committee meeting prior to its filing.
Form 990, Part VI, Section B, Line 12c: All officers, key employees, and
certain other employees are required to complete and file annually a
Confidential Financial Disclosure Report. These Reports--which require
disclosure of certain assets, earned income, liabilities, outside
positions, outside contracts and agreements, gifts, hospitality,
reimbursements, and other interests related to the employee's Smithsonian
position--are reviewed by the Institution's Office of General Counsel for
compliance with applicable conflict of interest policies and laws. In
addition to this required reporting, all key employees are required to
comply with the Institution's Standards of Conduct, which, among other
things, requires that employees not engage in private or personal
activities that might conflict or appear to conflict with Smithsonian
interests, requires that employees obtain Office of General Counsel
approval before engaging in a related outside activity for compensation,
and requires employees to consult with the Office of General Counsel
whenever a doubt exists as to whether an activity or planned activity
violates the Standards. All members of the Smithsonian's governing body
are required to complete and file annually the Board of Regents Annual
Disclosure Statement. These statements - which require reporting by
members of outside positions and substantial shareholding in for-profit
business entities, outside positions in non-profit entities, and interests
and affiliations of the member or the member's immediate family that have
or sought to have a relationship to the Smithsonian-are reviewed by the
Institution's General Counsel for compliance with applicable conflict of
23221201-04-13
2
Employer identification number
Schedule O (Form 990 or 990-EZ) (2012)
Schedule O (Form 990 or 990-EZ) (2012) Page
Name of the organizationSmithsonian Institution 53-0206027
interest policies and laws. In addition to this required reporting, all
members of the Smithsonian's governing body are required to comply with the
Board of Regents Ethics Guidelines, which, among other things, define
conflicts of interest and establish procedures for disclosing and reporting
of conflicts and recusal from decision-making.
Form 990, Part VI, Section B, Line 15: The Smithsonian ensures that
compensation paid to officers and other key employees is reasonable and
comparable to similar organizations. Employees of the Smithsonian may be
paid with federally appropriated funds or with nonfederal ("Trust") funds.
Most Trust funded (nonfederal) officer and key employee positions are
subject to market-based compensation, and the Board of Regent's Committee
on Compensation and Human Resources engages an independent consultant to
develop and assemble comparability data for its consideration and to inform
it decisions. The Committee's annual deliberations and decisions are
documented as part of the final recommendation materials submitted to the
Board of Regents.
Salaries for Federal employees are determined by statutorily established
pay ranges for civil service employees. As a matter of policy, the
Smithsonian has established similar ranges for certain Trust funded officer
and key employee positions and maintains those ranges in proportion to the
appropriate Federal pay ranges.
Form 990, Part VI, Section C, Line 19:
The Smithsonian makes these documents available on its public website
(www.si.edu). The documents can also be viewed at the Office of Finance &
23221201-04-13
2
Employer identification number
Schedule O (Form 990 or 990-EZ) (2012)
Schedule O (Form 990 or 990-EZ) (2012) Page
Name of the organizationSmithsonian Institution 53-0206027
Accounting or mailed.
Form 990, Part XI, line 9, Changes in Net Assets:
Change in FONZ net assets 2,186,172.
Deferred gain on building 3,908,586.
Change in minority interest-SI Network 2,951,520.
Refund of contribution -2,000,000.
Environmental remediation obligation FASB ASC 410-20 -69,150,000.
Total to Form 990, Part XI, Line 9 -62,103,722.
Form 990, Page 1, Line K
Type of organization (other)
The Smithsonian Institution is a trust instrumentality of the U.S.,
created by Congress; organized pursuant to 20 U.S.C. sec. 41 et seq.
Form 990, Page 1, Line M
As a trust instrumentality of the United States, the Smithsonian
Institution is a federal entity that is not domiciled in any state.
Form 990, Part VII and Schedule J-2
The following are abbreviations found in the body of this return:
AIB - Arts and Industry Building
FONZ - Friends of the National Zoo
HMSG - Hirshhorn Museum and Sculpture Garden
NASM - National Air and Space Museum
NMAAHC - National Museum of African American History and Culture
NMAH - National Museum of American History
NMNH - National Museum of Natural History
23221201-04-13
2
Employer identification number
Schedule O (Form 990 or 990-EZ) (2012)
Schedule O (Form 990 or 990-EZ) (2012) Page
Name of the organizationSmithsonian Institution 53-0206027
NZP - National Zoological Park
OPMB - Office of Planning, Management and Budget
SERC - Smithsonian Environmental Research Center
SI - Smithsonian Institution
OM
B N
o.
15
45
-00
47
Dep
art
men
t o
f th
e T
reasu
ryIn
tern
al R
even
ue S
erv
ice
Secti
on
51
2(b
)(13
)
co
ntr
olle
d
en
tity
?
23
21
61
12
-10
-12
SC
HE
DU
LE
R(F
orm
99
0)
Co
mp
lete
if
the
org
an
iza
tio
n a
nsw
ere
d "
Ye
s"
to F
orm
99
0, P
art
IV
, lin
e 3
3, 3
4, 3
5, 3
6, o
r 3
7.
Op
en
to
Pu
blic
Insp
ec
tio
nS
ee
se
pa
rate
in
str
uc
tio
ns.
Att
ac
h t
o F
orm
99
0.
Em
plo
yer
ide
nti
fic
ati
on
nu
mb
er
Pa
rt I
Ide
nti
fic
ati
on
of
Dis
reg
ard
ed
En
titi
es
(a)
(b)
(c)
(d)
(e)
(f)
Ide
nti
fic
ati
on
of
Re
late
d T
ax-E
xe
mp
t O
rga
niz
ati
on
s
Pa
rt I
I
(a)
(b)
(c)
(d)
(e)
(f)
(g)
Ye
sN
o
Fo
r P
ap
erw
ork
Re
du
cti
on
Ac
t N
oti
ce
, se
e t
he
In
str
uc
tio
ns f
or
Fo
rm 9
90
.S
ch
ed
ule
R (
Fo
rm 9
90
) 2
01
2
||
|
Nam
e o
f th
e o
rgan
izatio
n
(Co
mp
lete
if t
he o
rgan
izatio
n a
nsw
ere
d "
Yes"
to
Fo
rm 9
90
, P
art
IV
, lin
e 3
3.)
Nam
e, ad
dre
ss, an
d E
IN (if
ap
plic
ab
le)
of
dis
reg
ard
ed
en
tity
Prim
ary
activi
tyL
eg
al d
om
icile
(st
ate
or
fore
ign
co
un
try)
To
tal i
nco
me
En
d-o
f-ye
ar
ass
ets
Direct
co
ntr
olli
ng
en
tity
(Co
mp
lete
if t
he o
rgan
izatio
n a
nsw
ere
d "
Yes"
to
Fo
rm 9
90
, P
art
IV
, lin
e 3
4 b
ecau
se it
had
on
e o
r m
ore
rela
ted
tax-
exe
mp
to
rgan
izatio
ns
du
rin
g t
he t
ax
year.
)
Nam
e, ad
dre
ss, an
d E
INo
f re
late
d o
rgan
izatio
nP
rim
ary
activi
tyL
eg
al d
om
icile
(st
ate
or
fore
ign
co
un
try)
Exe
mp
t C
od
ese
ctio
nP
ub
lic c
harity
statu
s (if
sectio
n5
01
(c)(3
))
Direct
co
ntr
olli
ng
en
tity
LH
A
Re
late
d O
rga
niz
ati
on
s a
nd
Un
rela
ted
Pa
rtn
ers
hip
s2
01
2
Smithsonian Institution
53-0206027
Clay Fellowships Charitable Trust -
04-3560268, 10 Memorial Boulevard,
Support of Smithsonian
Line 11d,
Providence, RI 02903
Astrophysical Observatory
Massachusetts
501(c)(3)
III-O
N/A
XSmithsonian UK Charitable Trust
Advance the work of the
c/o Withers LLP, 16 Old Bailey
Smithsonian Institution
Smithsonian
London, UNITED KINGDOM EC4M 7EG
worldwide
UNITED KINGDOM
501(c)(3)
Line 7
Institution
X
Leg
al
do
mic
ile(s
tate
or
fore
ign
co
un
try)
Gen
era
l o
rm
an
ag
ing
part
ner?
Dis
pro
po
rtio
n-
ate
allo
cati
on
s?
Secti
on
51
2(b
)(13
)co
ntr
olle
den
tity
?
Leg
al d
om
icile
(sta
te o
rfo
reig
nco
un
try)
23
21
62
1
2-1
0-1
2
2
Ide
nti
fic
ati
on
of
Re
late
d O
rga
niz
ati
on
s T
axa
ble
as a
Pa
rtn
ers
hip
P
art
III
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(k)
Ye
sN
oY
es
No
Ide
nti
fic
ati
on
of
Re
late
d O
rga
niz
ati
on
s T
axa
ble
as a
Co
rpo
rati
on
or
Tru
st
Pa
rt I
V
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
Ye
sN
o
Sc
he
du
le R
(F
orm
99
0)
20
12
Pre
dom
inan
t inc
ome
(rel
ated
, unr
elat
ed,
excl
uded
from
tax
unde
rse
ctio
ns 5
12-5
14)
Sch
ed
ule
R (F
orm
99
0) 2
01
2P
ag
e
(Co
mp
lete
if t
he o
rgan
izatio
n a
nsw
ere
d "
Yes"
to
Fo
rm 9
90
, P
art
IV
, lin
e 3
4 b
ecau
se it
had
on
e o
r m
ore
rela
ted
org
an
izatio
ns
treate
d a
s a p
art
ners
hip
du
rin
g t
he t
ax
year.
)
Nam
e, ad
dre
ss, an
d E
INo
f re
late
d o
rgan
izatio
nP
rim
ary
activi
tyD
irect
co
ntr
olli
ng
en
tity
Sh
are
of
tota
lin
co
me
Sh
are
of
en
d-o
f-ye
ar
ass
ets
Co
de V
-UB
Iam
ou
nt
in b
ox
20
of
Sch
ed
ule
K-1
(F
orm
10
65
)
Perc
en
tag
eo
wn
ers
hip
(Co
mp
lete
if t
he o
rgan
izatio
n a
nsw
ere
d "
Yes"
to
Fo
rm 9
90
, P
art
IV
, lin
e 3
4 b
ecau
se it
had
on
e o
r m
ore
rela
ted
org
an
izatio
ns
treate
d a
s a c
orp
ora
tio
n o
r tr
ust
du
rin
g t
he t
ax
year.
)
Nam
e, ad
dre
ss, an
d E
INo
f re
late
d o
rgan
izatio
nP
rim
ary
activi
tyD
irect
co
ntr
olli
ng
en
tity
Typ
e o
f en
tity
(C c
orp
, S
co
rp,
or
tru
st)
Sh
are
of
tota
lin
co
me
Sh
are
of
en
d-o
f-ye
ar
ass
ets
Perc
en
tag
eo
wn
ers
hip
Smithsonian Institution
53-0206027
Charitable Remainder Trusts (3)
1000 Jefferson Drive, S.W.
Charitable Remainder
Washington, DC 20560
Trust
DCN/A
TRUST
XCharitable Remainder Trusts (2)
1000 Jefferson Drive, S.W.
Charitable Remainder
Washington, DC 20560
Trust
MAN/A
TRUST
XCharitable Remainder Trusts (1)
1000 Jefferson Drive, S.W.
Charitable Remainder
Washington, DC 20560
Trust
MIN/A
TRUST
XCharitable Remainder Trusts (6)
1000 Jefferson Drive, S.W.
Charitable Remainder
Washington, DC 20560
Trust
NYN/A
TRUST
XCharitable Remainder Trusts (4)
1000 Jefferson Drive, S.W.
Charitable Remainder
Washington, DC 20560
Trust
VAN/A
TRUST
X
Secti
on
51
2(b
)(13
)co
ntr
olle
den
tity
?
Leg
al d
om
icile
(sta
te o
rfo
reig
nco
un
try)
23
22
24
11
-19
-12
Pa
rt I
VC
on
tin
ua
tio
n o
f Id
en
tifi
ca
tio
n o
f R
ela
ted
Org
an
iza
tio
ns T
axa
ble
as a
Co
rpo
rati
on
or
Tru
st
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
Ye
sN
o
Sch
ed
ule
R (F
orm
99
0)
Nam
e, ad
dre
ss, an
d E
INo
f re
late
d o
rgan
izatio
nP
rim
ary
activi
tyD
irect
co
ntr
olli
ng
en
tity
Typ
e o
f en
tity
(C c
orp
, S
co
rp,
or
tru
st)
Sh
are
of
tota
lin
co
me
Sh
are
of
en
d-o
f-ye
ar
ass
ets
Perc
en
tag
eo
wn
ers
hip
Smithsonian Institution
53-0206027
Charitable Lead Trust (1)
1000 Jefferson Drive, S.W.
Washington, DC 20560
Charitable Lead Trust
VAN/A
TRUST
X
23
21
63
1
2-1
0-1
2
3
Pa
rt V
Tra
nsa
cti
on
s W
ith
Re
late
d O
rga
niz
ati
on
s
No
te.
Ye
sN
o
1
a b c d e f g h i j k l m n o p q r s
(i)
(ii)
(i
ii)
(iv)
1
a
1b
1c
1d
1e 1f
1g
1h 1i
1j
1k 1l
1m 1n
1o
1p
1q 1r
1s
2
(a)
(b)
(c)
(d)
(1)
(2)
(3)
(4)
(5)
(6)
Sc
he
du
le R
(F
orm
99
0)
20
12
Sch
ed
ule
R (F
orm
99
0) 2
01
2P
ag
e
(Co
mp
lete
if t
he o
rgan
izatio
n a
nsw
ere
d "
Yes"
to
Fo
rm 9
90
, P
art
IV
, lin
e 3
4, 3
5b
, o
r 3
6.)
Co
mp
lete
lin
e 1
if a
ny
en
tity
is li
sted
in P
art
s II, III, o
r IV
of
this
sch
ed
ule
.
Du
rin
g t
he t
ax
year,
did
th
e o
rgan
izatio
n e
ng
ag
e in
an
y o
f th
e f
ollo
win
g t
ran
sactio
ns
with
on
e o
r m
ore
rela
ted
org
an
izatio
ns
liste
d in
Part
s II-IV
?
Receip
t o
f in
tere
st
an
nu
itie
s ro
yaltie
s o
r re
nt
fro
m a
co
ntr
olle
d e
ntity
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
Gift
, g
ran
t, o
r cap
ital c
on
trib
utio
n t
o r
ela
ted
org
an
izatio
n(s
)
Gift
, g
ran
t, o
r cap
ital c
on
trib
utio
n f
rom
rela
ted
org
an
izatio
n(s
)
Lo
an
s o
r lo
an
gu
ara
nte
es
to o
r fo
r re
late
d o
rgan
izatio
n(s
)
Lo
an
s o
r lo
an
gu
ara
nte
es
by
rela
ted
org
an
izatio
n(s
)
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~
Div
iden
ds
fro
m r
ela
ted
org
an
izatio
n(s
)~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
Sale
of
ass
ets
to
rela
ted
org
an
izatio
n(s
)
Pu
rch
ase
of
ass
ets
fro
m r
ela
ted
org
an
izatio
n(s
)
Exc
han
ge o
f ass
ets
with
rela
ted
org
an
izatio
n(s
)
Lease
of
facili
ties,
eq
uip
men
t, o
r o
ther
ass
ets
to
rela
ted
org
an
izatio
n(s
)
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~
Lease
of
facili
ties,
eq
uip
men
t, o
r o
ther
ass
ets
fro
m r
ela
ted
org
an
izatio
n(s
)
Perf
orm
an
ce o
f se
rvic
es
or
mem
bers
hip
or
fun
dra
isin
g s
olic
itatio
ns
for
rela
ted
org
an
izatio
n(s
)
Perf
orm
an
ce o
f se
rvic
es
or
mem
bers
hip
or
fun
dra
isin
g s
olic
itatio
ns
by
rela
ted
org
an
izatio
n(s
)
Sh
arin
g o
f fa
cili
ties,
eq
uip
men
t, m
aili
ng
list
s, o
r o
ther
ass
ets
with
rela
ted
org
an
izatio
n(s
)
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~
Sh
arin
g o
f p
aid
em
plo
yees
with
rela
ted
org
an
izatio
n(s
)~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
Reim
bu
rsem
en
t p
aid
to
rela
ted
org
an
izatio
n(s
) fo
r exp
en
ses
Reim
bu
rsem
en
t p
aid
by
rela
ted
org
an
izatio
n(s
) fo
r exp
en
ses
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~
Oth
er
tran
sfer
of
cash
or
pro
pert
y to
rela
ted
org
an
izatio
n(s
)
Oth
er
tran
sfer
of
cash
or
pro
pert
y fr
om
rela
ted
org
an
izatio
n(s
)~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~~
~
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
��
If t
he a
nsw
er
to a
ny
of
the a
bo
ve is
"Y
es,
" se
e t
he in
stru
ctio
ns
for
info
rmatio
n o
n w
ho
mu
st c
om
ple
te t
his
lin
e, in
clu
din
g c
ove
red
rela
tio
nsh
ips
an
d t
ran
sactio
n t
hre
sho
lds.
Nam
e o
f o
ther
org
an
izatio
nT
ran
sactio
nty
pe (a-s
)A
mo
un
t in
volv
ed
Meth
od
of
dete
rmin
ing
am
ou
nt
invo
lved
Smithsonian Institution
53-0206027
X XX
X X X X X X X X X X X X X X X X
Charitable Lead Trust
C228,314.Cash
Smithsonian UK Charitable Trust
C51,448.Cash
Are
all
partn
ers
sec.
501(
c)(3
)or
gs.?
Dis
prop
or-
tiona
teal
loca
tions
?
Gen
era
l o
rm
an
ag
ing
part
ner?
23
21
64
12
-10
-12
Yes
No
Yes
No
YesN
4
Pa
rt V
IU
nre
late
d O
rga
niz
ati
on
s T
axa
ble
as a
Pa
rtn
ers
hip
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(k)
o
Sc
he
du
le R
(F
orm
99
0)
20
12
Pre
dom
inan
t inc
ome
(rel
ated
, unr
elat
ed,
excl
uded
from
tax
unde
r se
ctio
n 51
2-51
4)
Cod
e V
-UB
Iam
ount
in b
ox 2
0of
Sch
edul
e K
-1(F
orm
106
5)
Sch
ed
ule
R (F
orm
99
0) 2
01
2P
ag
e
(Co
mp
lete
if t
he o
rgan
izatio
n a
nsw
ere
d "
Yes"
to
Fo
rm 9
90
, P
art
IV
, lin
e 3
7.)
Pro
vid
e t
he f
ollo
win
g in
form
atio
n f
or
each
en
tity
taxe
d a
s a p
art
ners
hip
th
rou
gh
wh
ich
th
e o
rgan
izatio
n c
on
du
cte
d m
ore
th
an
fiv
e p
erc
en
t o
f its
activi
ties
(measu
red
by
tota
l ass
ets
or
gro
ss r
eve
nu
e)
that
was
no
t a r
ela
ted
org
an
izatio
n. S
ee in
stru
ctio
ns
reg
ard
ing
exc
lusi
on
fo
r cert
ain
inve
stm
en
t p
art
ners
hip
s.
Nam
e, ad
dre
ss, an
d E
INo
f en
tity
Prim
ary
activi
tyL
eg
al d
om
icile
(sta
te o
r fo
reig
nco
un
try)
Sh
are
of
tota
lin
co
me
Sh
are
of
en
d-o
f-ye
ar
ass
ets
Perc
en
tag
eo
wn
ers
hip
Smithsonian Institution
53-0206027
232165 12-10-12
5
Schedule R (Form 990) 2012
Schedule R (Form 990) 2012 Page
Complete this part to provide additional information for responses to questions on Schedule R (see instructions).
Part VII Supplemental Information
Smithsonian Institution 53-0206027